Feb
23
Finra Begins a Review of Brokerage Firm Culture
ByThe Financial Industry Regulatory Authority has begun a formal review of cultural values at more than a dozen brokerage firms, including how executives identify rogue employees whose actions contradict company policy.
The authority, known as Finra, sent a letter to the firms last week asking them to describe policies meant to establish a firm’s culture, how management sets a “tone from the top,” and how the firms follow through on those policies. Finra asked for the answers by March 21…
Finra Begins a Review of Brokerage Firm Culture
