By Oyster Consulting LLC
Download the Capital Markets Services eBook to learn about CAT Reporting, Trade and Position Reporting, Market Access and Best Execution.
FINRA’s 2023 Examination and Risk Monitoring Program priorities have been published and, not surprisingly, Best Execution is once again identified as a top area of focus. FINRA does a thoughtful and thorough job of clearly outlining areas of focus and firm vulnerabilities. With respect to Best Execution, FINRA reminds firms that in any transaction for […]
Each year, financial services industry regulators produce what are generally known as Exam Priorities. In this podcast episode, our Compliance experts review FINRA’s exam priorities – what’s new along with the highlights you should be aware of. This annual report is a helpful tool to identify what FINRA is seeing during their examinations and what […]
Oyster Consulting is happy to announce that Lisa Robinson has joined Oyster Consulting’s Governance, Risk and Compliance team.