FINRA Publishes 2023 Report on Exam and Risk Monitoring Program
Reported by: FINRA FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs. New Topics Covered in the Report: Manipulative Trading. The report’s findings include inadequate written supervisory procedures, non-specific surveillance thresholds and surveillance deficiencies. Fixed Income […]