RiskTech Forum

Thomson Reuters: SEC & FINRA 2017 Regulatory Priorities

Posted: 1 February 2017


As U. S. regulatory examiners set their 2017 priorities, they will be using even more sophisticated data tools and scrutinizing how firms monitor employees with industry discipline records.


This clip features insights from Thomson Reuters Regulatory Intelligence experts Randall Mikkelsen, North American managing editor - Enterprise Risk Management Randall Mikkelsen and Richard Satran, senior reporter - Wall Street Regulation.