FINRA’s 2022 Examination and Risk Monitoring Program Report
Summary
The report is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. In a press release, Greg Ruppert, executive vice president, member supervision, stated: “Today’s securities industry landscape is highly dynamic in terms of business models, technologies, products and compliance practices. • Incorporate the Report’s highlighted topics into your overall risk assessment processes and compliance program review. • Perform a gap analysis to evaluate how your compliance program and written supervisory procedures address the questions raised in the Report to help prevent similar findings. • Leverage FINRA’s reports (findings, observations, and effective practices) as a means of guidance and training for your staff.
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