FINRA Chief Sees Broker Culture As Key To Compliance

Law360, Washington (May 23, 2016, 6:35 PM EDT) -- Financial Industry Regulatory Authority CEO Rick Ketchum on Monday highlighted the importance of cultural values for broker-dealers at the annual conference hosted by his regulatory group, saying it will continue to examine how culture influences firms' compliance.

Ketchum emphasized the importance of cultural values both for industry players and FINRA itself in his opening address; this is the last annual conference he will attend while serving as chairman and CEO of the self-regulatory organization before retiring later this year.

"The challenge of how you deal with good people making bad decisions …  is more and more important than it's ever been...

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