Compliance Support Checklists

In December 2017, the Financial Industry Regulatory Authority, Inc. (FINRA) published its Report on FINRA Examination Findings, which summarizes certain observations from its cycle examination program.  The Cybersecurity Checklist and Outside Business Activities & Private Securities Transactions Checklist are aimed at reproducing FINRA’s observations, on those specific issues, in a concise and usable format.

FSI members may consider comparing their current business practices against the checklists.  However, the checklists are not designed to be an exhaustive list of all issues members should review when performing self-audits in these areas.  Conversely, they are just a reminder to ensure that firms have adequate controls with respect to the observations identified in the Report.

Cybersecurity Checklist

Outside Business Activities & Private Securities Transactions

Who to Contact

To discuss, please email

Katanya Moore –  Email Katanya
Robin Traxler – Email Robin