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… READ MORE
This week’s episode of Oyster Stew is Part 3 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters. Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Consultant Joe Turner talk about Technology and Cybersecurity, Business Continuity Plans, Cash Management and Bank Sweeps. Oyster provides free resources such as podcasts and blogs, as well a… READ MORE
On January 9, 2020, FINRA released its 2020 Risk Monitoring and Examination Priorities Letter. While many of the priorities are continuations from previous years and all areas are important, the recent Letter pointed to some new or refined focus areas: Sales Practices Regulation Best Interest: There are still many firms that have not started the… READ MORE
