As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational risk management challenges on FINRA registered broker-dealers. Many of these challenges are related to the governance and control environments, specific to the data that is so heavily relied upon to ensure broker-dealers continue to meet the ever expanding list of ongoing regulatory and compliance requirements, aimed at customer protection and market integrity. Given FINRA’s 2016 examination and regulatory priorities, it is evident that data management and data integrity is and will continue to be a focal point for regulators for the foreseeable future. Understanding the magnitude of data related issues that have surfaced within our industry, CRC is committed to providing our clients and prospects with practical solutions to data related risks specific to broker-dealers. Based on the above, CRC is pleased to announce our joint guide with Gresham Computing on Data Integrity and Governance for FINRA registered broker-dealers. This guide provides insight into the discrete data related issues faced by broker-dealers, offering readers an opportunity to understand the common data related struggles faced by our entire industry, as well as a solution aimed at alleviating these issues in a cost-effective and practical manner.
Submit the following to be taken to your complimentary copy of the Regulatory Compliance Series Data Integrity and Governance whitepaper for FINRA registered broker-dealers.