FINRA and the SEC recently issued 2014 examination priorities letters to help broker-dealers focus and allocate resources to the higher-risk areas of their business and the areas that may be assessed in upcoming examinations.
Suitability and complex products, leveraged loan products, structured products, leveraged exchange-traded funds and notes, variable annuities, cyber-security and data integrity, private placements, anti-money laundering, insider trading, margin lending practices, leverage and liquidity, algorithmic trading, high frequency trading, and alternative trading systems the list goes on. So where should firms start?
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