Third party risk management is an increasing area of concern for financial institutions. The supply chain is becoming increasingly important to regulators, to your enterprise-level risk management and to the integrity of your organizational reputation. Anti-Corruption and Anti-Bribery legislation makes your firm responsible for those suppliers’ activities. Increasingly, cybersecurity is a major area of scrutiny.
*Updated Jan 2017
We delved into the official disciplinary actions released from FINRA for 2016 and have been keeping a score sheet of all the fines by month. Now we present to you 7 facts from this long list of fines.
