FINRA’s 2016
Regulatory and Examination Priorities Letter identifies both new areas of focus
as well as areas of recurring concern. We first address three broad
issues—culture, conflicts of interest and ethics; supervision, risk management
and controls; and liquidity— and then discuss more narrowly focused topics. As
always, there is a tension between our desire to be brief with this letter
while also addressing the many areas of potential concern that can arise across
the breadth of the securities industry.
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