Although FINRA’s Examination and Risk Monitoring Report is characterized as a reference to inform member firms’ compliance programs, the Report serves to highlight the areas of examination focus and emerging risk that will most likely direct reviews in 2022. Firms should anticipate that examiners will be assessing how well their compliance activities in each of the topic areas align with the information contained in the Report, including exam findings, effective practices, and “relevant considerations.” Firms are encouraged to promptly review and enhance their controls and processes to ensure adherence to these areas of regulatory expectation.
Examination and Risk Monitoring: FINRA 2022 Report
Highlighting exam findings, effective practices, and relevant considerations
Share
Dive into our thinking:
Examination and Risk Monitoring: FINRA 2022 Report
Download PDFGet the latest from KPMG Regulatory Insights
KPMG Regulatory Insights is the thought leader hub for timely insight on risk and regulatory developments.
Explore more
Regulatory Alerts
Quick hitting summaries of specific regulatory developments and their impact.
Washington Report 360
A weekly newsletter covering legislative and regulatory developments affecting financial services firms—in 360 words or less.