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Bloomberg Law: Managing E-Comms Risk During 2022 FINRA Exams

By May 16, 2022May 18th, 2022No Comments
Theta Lake logo and Marc Gilman, General Counsel and VP of Compliance

FINRA’s annual Report on its Examination and Risk Monitoring Program was released in February 2022 and marks the second year of the revised format, which includes focus areas for 2022 examinations as well as findings from last year’s exams interspersed with practical guidance for firms.