Compliance Culture – A FINRA Priority

Understanding your culture is a priority for the Financial Institution Regulatory Authority. While some doubt FINRA can do this, there are steps your firm can take to demonstrate adherence to rules and regulations that have an  impact on the objective "indicators" of FINRA's cultural assessment.

Read the full commentary by clicking here.

For reprint and licensing requests for this article, click here.
Law and regulation Washington
MORE FROM BOND BUYER