Be Proactive
Whether you want to ensure that your Market Access program meets regulatory requirements before certifying, or you just want to make sure your program is achieving compliance, regularly reviewing your program can save you time and prevent headaches. If your firm has or provides market access, FINRA will want to see that you have reasonably designed risk-management controls and WSPs to manage the financial, regulatory and other risks associated with this business, including capital limits, governance and post-trade surveillance.