Typically, Being Two-Confronted is a Good Factor…
Highlight On Expertise: David Amster, Principal and Head of Fund and Seller Advisory
On January 1, 153 B.C., Rome was the location of the primary recorded new 12 months’s celebration throughout which Romans paid tribute to Janus – January’s namesake and the Roman god of beginnings and endings. Janus had two faces, one trying ahead and one trying again. Taking a cue from Janus and consistent with its personal New 12 months’s custom, FINRA appears to be like each again on the previous and ahead towards the longer term with its annual Regulatory and Examination Priorities Letter. As at all times, it’s a very useful gizmo that gives a simple glimpse into the collective mindset of FINRA’s senior management. CRC strongly advises its purchasers (and all different member corporations, for that matter) to heed FINRA’s counsel and to use important thought to these areas of the letter which are related to their agency’s enterprise traces and operations.
Obtain Compliance Bulletin
David Amster affords key takeaways from FINRA’s annual dispatch. Enter your info beneath to obtain your complimentary copy of Typically, Being Two-Confronted is a Good Factor… FINRA 2017 Regulatory and Examination Priorities Letter:
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