Corporations ought to assessment the Examination Results Report For added details about FINRA’s observations regarding fears and productive methods connected with cybersecurity. FINRA also reminds corporations which they must have procedures and processes in position to evaluate no matter if to file a SAR once they detect a cybersecurity event.
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Corporations should also Appraise inside procedures and instruction pertaining to permissible communications and interactions with microcap inventory promoters to help in protecting against brokers from participating in any fraudulent plan.
Companies really should review the Examination Conclusions Report For extra specifics of FINRA’s observations relating to fears and helpful practices associated with current market access.
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Economic Exploitation of Specified Grownups: FINRA Rule 2165 will develop into effective February 5, 2018, and permits associates to position short term retains on disbursements of cash or securities from your accounts of specified customers the place There is certainly an affordable belief of financial exploitation of those consumers.
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As normally, we urge you to Call your firm’s FINRA regulatory coordinator with distinct issues or remarks. Moreover, When you have general opinions concerning this letter or suggestions on how we can easily enhance it, make sure you send them to Steven Polansky, Senior Director, Regulatory Operations/Shared Companies, at firstname.lastname@example.org.
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