Finra plans to scrutinize brokerages’ compliance culture
The regulator releases its priorities for the new year. Topping the list are firms' compliance culture and conflicts of interest.
Finra plans to assess whether adhering to regulations is part of brokerage firms' everyday habits – a gene in their operational DNA – during its examinations this year.
The Financial Industry Regulatory Authority Inc. announced on Tuesday that it will more formally scrutinize how firm c
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