Corporate & Financial Weekly Digest, Featuring Articles on FINRA and the FCA Offering Guidance on Cryptocurrencies

BROKER-DEALER -

FINRA Releases 2019 Annual Risk Monitoring and Examination Priorities Letter -

On January 22, the Financial Industry Regulatory Authority (FINRA) issued its annual Risk Monitoring and Examination Priorities Letter. This year’s letter includes a number of new areas for firms to consider in seeking to improve their compliance, supervisory and risk management programs.

Please see full Newsletter below for more information.

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Written by:

Katten Muchin Rosenman LLP
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