Category Archives: Branch and Rep Management

Anti Money LaunderingBranch and Rep ManagementCompliance ManagementIT Risk ManagementNewsReg BITrade MonitoringVendor Risk Management
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2022 Report on FINRA’s Examination and Risk Monitoring Program

FINRA issued this risk alert on Feb 9th 2022. All information here is Quoted from the FINRA’s document. Please refer to FINRA’s document in the below link for complete information https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program The 2022 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides firms with information that may help inform their compliance programs. For […]...
Anti Money LaunderingBranch and Rep ManagementCompliance ManagementIntergrated Client ManagementIT Risk ManagementReg BIRegulators
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FINRA’s Examination and Risk Monitoring Program 2021

FINRA released its 2021 Report on FINRA’s Examination and Risk Monitoring Program on Feb 10th 2021 that sets the direction for the market for 2021. Please Note: All information here is as stated in FINRA’s report. This article is only intended to covers the areas where La Meer offers solutions, and is not the complete […]...