FINRA Exams Will Focus on Culture of Compliance

By Joe Mont2016-01-07T10:45:00

The Financial Industry Regulatory Authority is joining the chorus of regulators urging a “culture of compliance” at the financial firms it supervises. As outlined in its 2016 Regulatory and Examination Priorities Letter, it will assess whether control functions are valued within the organization, whether policy or control breaches are tolerated, ...

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Market shifts, SEC priorities spark debate of FINRA’s future

2016-04-19T14:15:00Z By Joe Mont

Changes may be afoot at the Financial Industry Regulatory Authority as Congress and others ponder whether its duties should expand, compress, or just be folded into the Securities and Exchange Commission. Amid the debates one thing is clear: FINRA is doubling down on its enforcement efforts.
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Putting FINRA’s priorities into practice

2016-03-08T12:00:00Z By Jaclyn Jaeger

The Financial Industry Regulatory Authority’s full court press on addressing emerging and existing risks in the securities industry will continue to intensify in 2016, reinforced by a steady surge in restitution, disciplinary actions, and bars and suspensions over the last five years. What are FINRA’s top regulatory and examination priorities, ...
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Q&A with Wolters Kluwer’s Barbara Boehler: What is a “culture of compliance,” anyway?

2016-02-23T20:30:00Z By Joe Mont

Image: A term of the moment in regulatory circles is “culture of compliance,” a desire for firms to move beyond check-the-box rules and compliance demands by making good behavior part of their corporate zeitgeist. We spoke to Barbara Boehler, a regulatory compliance expert at Wolters Kluwer, about how to define ...

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FINRA Exams Will Focus on Culture of Compliance

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Related articles

Market shifts, SEC priorities spark debate of FINRA’s future

Putting FINRA’s priorities into practice

Q&A with Wolters Kluwer’s Barbara Boehler: What is a “culture of compliance,” anyway?

“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”