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Examination and Risk Monitoring: FINRA 2022 Report

Highlighting exam findings, effective practices, and relevant considerations

Although FINRA’s Examination and Risk Monitoring Report is characterized as a reference to inform member firms’ compliance programs, the Report serves to highlight the areas of examination focus and emerging risk that will most likely direct reviews in 2022. Firms should anticipate that examiners will be assessing how well their compliance activities in each of the topic areas align with the information contained in the Report, including exam findings, effective practices, and “relevant considerations.” Firms are encouraged to promptly review and enhance their controls and processes to ensure adherence to these areas of regulatory expectation.

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Examination and Risk Monitoring: FINRA 2022 Report

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KPMG Regulatory Insights comprise key industry practitioners and regulatory advisors from across the KPMG global network.

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Amy S. Matsuo
Principal, U.S. Regulatory Insights & Compliance Transformation Lead, KPMG LLP

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