Law Office

FINRA observes shortcomings in 5 key areas

January 6, 2015, FINRA notes that it observes shortcomings in five key areas of broker-dealer activity.

  1. alignment of firms’ interests with those of their customers;
  2. standards of ethical behavior;
  3. development of strong supervisory and risk management systems;
  4. development, marketing and sale of novel products and services; and
  5. management of conflicts of interest.

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