Expect More Focus on the Review of Branch Offices

May 28, 2015

The follow article written by ACA's Tammy Tam was featured in BISA Magazine Q1 2015 issue.

 

Broker-dealers are constantly reminded of the areas of risk that regulators want to review. These risk areas are no secret; both the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC) issue a letter each year outlining their examination priorities.

Click here to download the complete article.