Hedge Fund Blogs From HedgeCo.Net

FINRA 2015 Exam Priorities

CW Logo Small

January 7, 2015

Dear Friends,

FINRA released its examination priorities for 2015. Please find a subset of FINRA’s areas of focus below.

  •   Supervision Rules
    •   Private Placements
      •   Adequate Due Diligence and Suitability of Analysis
      •   Timeliness and Sufficiency of Private Placement Filings
      •   Compliance with FINRA’s Communication Rules
    •   Anti-Money Laundering (AML)
      •   Focus on Cash Management Accounts and Delivery Versus Payment/Receipt Versus Payment Accounts
      •   Microcap Activity and Foreign Currency Conversion Activity
  •   Product Focused Concerns
    •   Alternative Mutual Funds
    •   Non-Traded Real Estate Investment Trusts
    •   Securities-Backed Lines of Credit
  •   Cybersecurity
    •   Cybersecurity Risk Management
    •   Processes for Conducting Risk Assessments and Implementation of Changes
    •   Electronic Data Storage

Please click here for FINRA’s Regulatory and Examinations Priorities Letter. Please feel free to contact us with any questions at (212) 867-0200 or email us at info@counselworksllc.com.

Thank you,


About CounselWorks LLC

CounselWorks is a strategic business and regulatory consulting firm, that provides project-based consulting and manages compliance and regulatory programs for hedge funds, private equity firms, investment companies, broker-dealers and investment banks.
This entry was posted in Hedge Fund Commentary, hedge fund regulation, hedge fund news and tagged , , , , , . Bookmark the permalink.

Comments are closed.