The publication of FINRA’s Report on Examination Findings and Observations is now in its third year. In 2019, the title and framing have changed slightly: “Recommendations” have been recast as “observations,” but nevertheless the Report provides an opportunity to learn about the most significant regulatory and compliance risks FINRA identified during the year. FINRA dedicated sections to both Supervision and Digital Communications, emphasizing them as key compliance focus areas for 2020.

These two issues have clear and critical overlap. As technologies for digital communications develop at a rapid pace, corresponding supervision of these new channels must evolve as well.

Read Marc Gilman’s guest post on Corporate Compliance Insights
Ian Applegate-Olson

Author Ian Applegate-Olson

Ian is the Global Digital Marketing Manager at Theta Lake.

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