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FINRA: establishing and implementing cultural values

Jaclyn Jaeger | March 1, 2016

The Financial Industry Regulatory Authority issued new guidance on what firms will be expected to discuss regarding their firm’s cultural values when they meet with FINRA this month.

As Compliance Week previously reported, FINRA recently released its 2016 Regulatory and Examination Priorities letter highlighting a variety of issues, including a new focus on how firms establish, communicate and implement cultural values, and whether cultural values are guiding business conduct. “In our assessments, FINRA will focus on the frameworks that firms use to develop, communicate and evaluate conformance with their culture,” the letter stated....

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