Practical Tips For Satisfying FINRA’s 'Culture' Concerns

Law360, New York (June 7, 2016, 12:13 PM EDT) -- For his valedictory address at the annual conference, the Financial Industry Regulatory Authority’s retiring chairman and CEO, Rick Ketchum, chose to discuss “culture.”[1] He acknowledged that FINRA’s focus this year on culture is on a continuum from its focus in recent years on other broad and thematic issues, such as conflicts of interest and compensation practices. FINRA uses these themes to take a higher-level look at the relationship between a firm’s ethical values and the way in which the firm treats its clients.

FINRA currently is conducting...
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