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The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) recently published their 2020 examination priority letters highlighting areas of focus for this year’s risk-based examinations. Many of the priorities are consistent with those of prior years, such as sales practices, cybersecurity and technology governance, anti-money laundering (AML) programs, market integrity, digital assets and financial management.
FINRA’s letter also discusses organizational changes intended to enhance its supervision and regulation capabilities. Also new in this year’s letter is an appendix of resources with practical considerations and questions that firms can leverage to evaluate the state of their compliance, supervisory, and risk management programs.
A publication of PwC's financial services regulatory practice
Financial Services Leader, PwC US