White Paper

Analysis of FINRA 2017 Exam Findings and 2018 Exam Priorities

There was no shortage of headline-grabbing cyber-related events in 2017 – leaks from Equifax, Verizon, and Deloitte, as well as the WannaCry ransomware attack. It is clear from reading the FINRA Examination Findings and Exam Prioritiess that cybersecurity and technology risks continue to consume the financial services community.

Download our white paper for a complete analysis of the FINRA 2017 Exam Findings, 2018 Exam Priorities, and find out how Workplace can help your firm with cybersecurity and compliance.


What you will learn from this whitepaper

How to improve cyber risk practices

Specific areas where firms can improve their cyber risk practices with enhanced technology controls.

Review of FINRA's 2018 exam priorities

Key areas FINRA will be targeting and how Workplace can address this areas.

New technologies available

An overview of new technologies that are available to support the Broker-dealers and their reos