The 2018 Regulatory and Examination Priorities Letter identifies matters that FINRA will center on in the approaching yr, and these include some new subject areas and Other people that stay ongoing parts of concentrate. FINRA’s 2017 Examination Results Report offers observations on each concerns and helpful procedures related to A few of these parts, and FINRA encourages broker-dealers to work with that report which letter as assets to improve their compliance, supervisory and possibility administration programs, and to prepare for their FINRA examination.
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Corporations must review the Examination Findings Report For extra specifics of FINRA’s observations concerning issues and helpful methods associated with cybersecurity. FINRA also reminds firms which they will need to have procedures and methods in place to assess whether or not to file a SAR after they establish a cybersecurity event.
FINRA will evaluate companies’ disclosure and supervisory procedures linked to margin loans. FINRA has observed predicaments where by registered Reps solicited clients to have interaction in share purchases on margin, but buyers weren't conscious of the challenges related to Those people transactions.
We also (1) revised our Cross Industry Marking the Open and Close surveillance pattern to lower Untrue positives plus much more properly determine possible circumstances of marking the open up or shut and (two) enhanced the Cross Market place Layering surveillance pattern in July 2017 to detect collusion among the many industry participants engaged in layering. Moreover, we're working on incorporating equipment Discovering strategies to help in even more detection of manipulative layering action.
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FINRA will overview how broker-dealers handle the conflict of interest that exists in between their responsibility of most effective execution and their possess fiscal passions, which include whether the broker- sellers’ procedures deliver for a daily and arduous evaluation in the execution high-quality they are very likely to get hold of from the marketplace facilities buying and selling a security.
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