In this MB Microtalk video, Mayer Brown partner, Tim Nagy, discusses FINRA’s recently issued report on its examination and monitoring program. The 2023 report contains relevant rules, key considerations, findings and observations, and notes on effective practices for compliance practioners.
Read the legal update here.
Visit our MB Microtalk page for more topics and talks.
Stay Up To Date With Our Insights
See how we use a multidisciplinary, integrated approach to meet our clients' needs.
Subscribe