Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]
CRC is pleased to announce a forthcoming whitepaper written in conjunction with Gresham Computing plc addressing data quality and data integrity issues impacting FINRA Registered broker-dealers.
As we’ve all recently learned in FINRA’s Regulatory and Examinations Priorities Letter for 2016, FINRA is focusing on the following areas specific to broker-dealer data:
Since CRC’s inception in 2013, our organization has dedicated itself to helping financial services firms address regulatory issues in a practical and actionable manner.
Our forthcoming whitepaper will not only pinpoint the issues most / if not all broker-dealers are facing as it relates to their data management – it will provide insight into a practical solution that will efficiently and cost effectively assist broker-dealers in mitigating the discrete regulatory risks specific to data quality and integrity.