Molly White

Molly White

McGuireWoods LLP

Contact
View Bio
RSS

Latest Posts › Compliance

Share:

FINRA Issues Sweep Letter on Firm’s Cultural Values

On February 18, 2016, Financial Industry Regulatory Authority (FINRA) announced that it had issued a targeted exam letter, or sweep, to firms seeking information about how firms establish, communicate and implement cultural...more

2/22/2016  /  Compliance , Corporate Culture , Ethics , Financial Industry Regulatory Authority (FINRA)
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide