The 2016 Regulatory and Examination Priorities Letter named three broad sets of issues that Finra will look to key in on: culture, conflicts of interest and ethics; liquidity; supervision, risk management and controls.
While all three topics include technology issues, it was the supervision, risk management and controls areas that the regulatory body discussed technology the most.
A major focus in the new year for Finra will be around the supervision and risk management practices for firm'
WatersTechnology attended the Futures Industry Association's annual conference in Boca Raton, Florida. These are the takeaways.Subscribe to Weekly Wrap emails
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