This year, FINRA is undertaking a review of how broker/dealers establish, communicate, and implement cultural values—and whether a particular firm’s cultural values appear to be guiding its overall business conduct.
Posted by Paul Tolley
August 16, 2016 at 10:00 AM
This year, FINRA is undertaking a review of how broker/dealers establish, communicate, and implement cultural values—and whether a particular firm’s cultural values appear to be guiding its overall business conduct.
Topics: Compliance
This material is for educational purposes only and is not intended to provide specific advice.
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