{"id":2854,"date":"2016-01-05T00:00:00","date_gmt":"2016-01-05T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-releases-focus-for-2016-emphasis-on-securities-firms-culture-supervision-and-liquidity\/"},"modified":"2018-10-08T12:40:11","modified_gmt":"2018-10-08T16:40:11","slug":"finra-releases-focus-for-2016-emphasis-on-securities-firms-culture-supervision-and-liquidity","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-releases-focus-for-2016-emphasis-on-securities-firms-culture-supervision-and-liquidity\/","title":{"rendered":"FINRA Releases Focus for 2016; Emphasis on Securities Firms\u2019 Culture, Supervision, and Liquidity"},"content":{"rendered":"<\/p>\n

On January 5, 2016, the Financial Industry Regulatory Authority<\/a> (FINRA) released its 2016 Regulatory Examination Priorities letter<\/a> highlighting three broad issues affecting investors and their rights: culture, conflicts of interest<\/a> and ethics; supervision<\/a>, risk management and controls; and liquidity. The letter also emphasizes sales practice, financial and operational controls, market integrity, and the significant role each of these plays in the way a securities firm conducts its business.<\/p>\n

The overarching themes cited by FINRA are as follow:<\/p>\n

Culture, Conflicts of Interest and Ethics<\/strong> \u2013 FINRA will formalize its assessment of firm culture to better understand how it impacts compliance and risk management and complete the review begun in 2015 regarding incentives and conflicts of interest in connection with firms\u2019 retail brokerage business. FINRA will specifically assess five indicators of a firm\u2019s culture:<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

On January 5, 2016, the Financial Industry Regulatory Authority (FINRA) released its 2016 Regulatory Examination Priorities letter highlighting three broad issues affecting investors and their rights: culture, conflicts of interest and ethics; supervision, risk management and controls; and liquidity. The letter also emphasizes sales practice, financial and operational controls, market integrity, and the significant role […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-2854","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nFINRA Releases Focus for 2016; Emphasis on Securities Firms\u2019 Culture, Supervision, and Liquidity — Securities Arbitration Lawyers Blog — January 5, 2016<\/title>\n<meta name=\"description\" content=\"If you have questions about how your investment account was handled, call the experienced attorneys at Silver Law Group today.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-releases-focus-for-2016-emphasis-on-securities-firms-culture-supervision-and-liquidity\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Releases Focus for 2016; 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