exam priorities

Don't be a findings in next year's FINRA Exam Priorities report.
Join our FINOP and Finance experts Rob Hall, Clark Tucker and Jeff Harpel as they discuss  the repeated and new findings and recommendations in FINRA's 2021 Examination and Risk Monitoring Program. 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

In case you're wondering what the regulators will be focusing on this year, they are kind enough to let you know when they publish their annual Exam Priorities Letters. This episode is Part 1 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Senior Consultant Joe Turner talk about what's new, particularly around Reg BI and Form CRS requirements. 

Future exam priorities podcast topics will include:

• Market Integrity
• Best Execution
• Technology and Cybersecurity
• Business Continuity Plans
• Cash Management / Bank Sweeps 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!