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FINRA's 2021 Examination and Risk Monitoring Program Report

Thursday, February 18, 2021
On Feb. 1, 2021, the Financial Regulatory Authority (FINRA) released its 2021 Report on FINRA’s Examination and Risk Monitoring Program (Report), in which it identifies its areas of examination focus for FINRA member firms (Firms) in 2021. The Report replaces the prior format for examination focus, the Risk Monitoring and Examination Program Priorities Letter. In the introduction to the Report, FINRA acknowledges the ongoing COVID-19 pandemic, its regulatory notice in response, and the challenges Firms have faced in response. The report stresses, however, that while FINRA has been in contact with firms throughout the pandemic, it is not ready to address any specific COVID-19-related issues and that such issues will be covered in a future publication. ....

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FINRA's Examination and Risk Monitoring Program

Friday, February 5, 2021
On February 1, the Financial Industry Regulatory Authority (FINRA) published its 2021 Report on FINRA’s Examination and Risk Monitoring Program (Report). The annual Report summarizes various findings and observations from recent FINRA examinations of its member firms on a range of topics and notes certain areas of the future focus of FINRA examinations in 2021. These included the following:
Regulation Best Interest (Reg BI) and Form CRS – The Report notes FINRA’s focus on assessing whether member firms have established and implemented policies, procedures, and a system of supervision reasonably designed to comply with Reg BI and Form CRS. The Report notes that in 2021, FINRA intends to expand the scope of Reg BI and Form CRS reviews and testing to effect a more comprehensive review of firm processes, practices and conduct. ....

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