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[…]