By Libby Hall
Learn how Oyster Solutions creates an efficient, effective compliance program that protects your firm and provides value.
Beginning on January 1, 2023, FINRA’s Regulatory Element CE must be completed on an annual basis. FINRA has also instituted several changes to the the Firm Element CE requirements.
In today’s podcast, hear from Oyster’s experts and former regulators how regulatory exams have become risk-based and data-driven, what is driving exam frequency and what the regulators are looking for.
The year is already more than half over, and now is a good time to begin planning your required Annual Compliance Report.