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Thomas Fox Contributing Editor

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Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

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Richard Bistrong Contributing Editor 

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FCPA Blog Daily News

Entries in independent audits (1)

Monday
Jan062014

FINRA releases 2014 regulatory and exam priorities 

On Thursday, the Financial Industry Regulatory Authority (FINRA) released its 2014 Regulatory and Examination Priorities letter to help firms review and enhance their compliance programs. FINRA emphasized that it will be examining for strong controls and compliance efforts in the areas covered in the letter, as they were deemed to pose significant risk to investors and the integrity of the market as a whole.

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