Posts tagged Securities.
Blogs
3 minute read
Last week, FINRA published its 2022 Report on its Examination and Risk Monitoring Program (the “Report”), identifying key areas of focus for broker-dealer exams this year. The Report contains many of the same areas of focus as last year’s report, including anti-money laundering, cybersecurity, Reg BI and Form CRS, communications with the public, best execution and segregation of customer funds. Although the Report again identifies these general areas, it identifies new concerns and recent examination findings in those areas. In an effort to be user friendly, the Report highlights that new content in bold and identifies new areas for 2022. A key takeaway from the Report is the continued challenges posed by technology.
Blog Editors
Recent Updates
- Can Silence Stop the Clock? How Secrecy May Allow Plaintiffs to Toll the Sherman Act’s Four-Year Statute of Limitations
- Discovery Pitfalls in the Age of AI
- Is the Deal Done? Litigation After Mergers and Acquisitions – Speaking of Litigation Video Podcast
- Eleventh Circuit Clarifies: Discovery Materials Can Be Used to Meet Rule 9(b)
- Biometric Backlash: The Rising Wave of Litigation Under BIPA and Beyond