Data Integrity and Governance for FINRA registered broker-dealers

18 July 2016
Gresham

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.

We are pleased to release our joint guide with Compliance Risk Concepts on Data Integrity and Governance for FINRA registered broker-dealers.