CRC Discusses FINRA 2016 Exam Priorities
mitch avnet
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mitch avnet
Chief Executive Officer and Managing Partner - Compliance Risk Concepts ("CRC")
Please check out our latest episode of CRC-TV!
Hosts Mitch Avnet and Elin Cherry discuss the following major compliance themes from FINRA’s recently published 2016 Exam Priorities:
- Focus on Ethics
- Code of Conduct and Testing
- Data Quality
- Cyber Response
- Data Warehouses
- “Garbage in / Garbage out”
- Monitoring and Surveillance CRC’s Blog
Check out CRC’s recent blog and publication: CRC Decodes FINRA’s 2016 Regulatory and Examinations Letter For You
Investment & Capital Markets Professional
8yMitch, well done. Keep after it, love your work ethic.
Managing Director at ACA Group
8yAs usual, great information, mitch avnet!