United States:
FINRA Releases 2015 Regulatory And Examinations Priorities Letter
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On January 6, 2015, the Financial Industry Regulatory Authority
("FINRA") released its Regulatory and Examinations Priorities Letter.
The letter details FINRA's intentions to review firms'
approaches to cybersecurity risk management, governance structures
and processes for conducting risk assessments, and approaches to
compliance with SEC rules regarding electronic storage of
records.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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