Finra's Tech Aims in 2016: Cyber Security, Technology Management, Data Quality Governance, Outsourcing

This is the 11th year that Finra has produced the Regulatory and Examination Priorities Letter.

Finra released its 2016 Regulatory and Examination Priorities letter.

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'

To continue reading...

You need to sign in to use this feature. If you don’t have a WatersTechnology account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an indvidual account here: