Finra Culture of Compliance Questions

Finra asks 8 questions to assess your firm’s culture of compliance

This week, Finra issued a targeted examination letter to 12 firms designed to help the regulator better assess and understand how firms have established a “culture of compliance.” As you may be aware, the term “culture of compliance” has garnered much attention (read this) thus far this year, as Finra doubles-down on the notion that a firm[…]

Risk and compliance analytics for small and mid-size firms

Risk and compliance analytics for small and midsize firms

Risk and compliance analytics for small and midsize firms We often hear the following questions and comments when discussing risk and compliance analytics with small and midsize firms: I’ve had surveillance tools and processes in place for years, they’re working just fine. We’re a small firm, how can we benefit from risk and compliance analytics? We don’t have[…]

Culture of Compliance

Culture of compliance term is on the rise

Culture of compliance term is on the rise Recently, the Wall Street Journal published an analysis (paywall) on the use of the term “culture of compliance” across published articles, using Factiva as a datasource. As many in the Financial Services industry know, compliance as been top-of-mind for many years, but it really took the spotlight[…]