An article in InvestmentNews reports on a recent request from FINRA for information about the compliance culture of more than a dozen broker-dealers. The article features commentary by hedge funds counsel Brynn Rail (New York), who outlines that compensation practices and suitability will be top concerns for the regulator in its compliance culture review. Ms. Rail also points out that FINRA emphasized culture at its 2015 annual conference, where firm culture “was the biggest theme” of the event.
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