On January 10, FINRA published its “2023 report on FINRA's Examination and Risk Management Program” (Report) — FINRA's third annual compendium of guidance, covering key topics and emerging risks for member firms to consider when evaluating the efficacy of their compliance programs and operations procedures. Among other things, the Report identifies relevant rules, summarizes noteworthy findings, outlines effective practices, and provides additional resources that may be helpful to member firms when assessing their compliance obligations.
Source: FINRA Issues 2023 Examination and Risk Management Program Report: What It Says and How to Respond