To read the Digest online, click here.
This week's issue addresses the following topics:
- OCIE Issues Risk Alert on Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P
- FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing
- FINRA Forms Office of Financial Innovation
- FINRA Releases Report on 2018 Fine Monies
- CFTC Approves Final Rule Providing Exception to Annual Privacy Notice Requirements
- Federal Reserve Proposes Revamped Standards for Determinations of Bank Control
- FCA Publishes Report on Payment for Order Flow
