New Podcast: FINOP Exam Priorities and COVID 19 Impacts on FINOP Procedures
The FINOP is specifically responsible for financial filings and books and records related to those filings. Each year FINRA produces its Exam Priorities, indicating which areas of compliance on which it will focus. While FINOP work isn’t always a hot topic, there are a few areas mentioned that could affect FINOPs. In our April 8, 2020 episode of Oyster Stew, Oyster’s Rob Hall, Jeff Harpel and Clark Tucker discuss the exam priorities as they relate to FINOPs. Also, in light of the COVID 19 virus pandemic, what firm business continuity plans should take into account, from the FINOP perspective.
If your firm is struggling with FINOP responsibilities, Oyster Consulting has retained some of the best talent in the industry. Our consultants have experience assisting our clients with a long-term solution, filling a short-term need, or training a newly-registered FINOP. Oyster can support the day-to-day operations across your firm, allowing you to spend valuable time investing and communicating with clients. When working with Oyster, you aren’t just working with one consultant, you are working with the entire team, with access to the combined knowledge and skills of our associates.