SEC and FINRA Emphasize Cybersecurity, AML, and Reg BI as Key Areas of Focus for Broker-Dealer Examinations in 2021
| Published date | 09 April 2021 |
| Subject Matter | FINRA,SEC,Compliance,Data Protection,Conflicts of Interest,Cybersecurity,Broker-Dealer,Phishing Scams,Risk Mitigation,Anti-Money Laundering,Ransomware,Special Purpose Acquisition Companies (SPACs),Suspicious Activity Reports (SARs) |
| Author | Carmen Lawrence,Russell Ryan,Michael Watling,Russell Johnston,Ana Daily,Steven Miller,Russell Sacks |
| Law Firm | King & Spalding |
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