Thomson Reuters: SEC & FINRA 2017 Regulatory Priorities


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.

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact [email protected] or view our subscription options here:

You are currently unable to copy this content. Please contact [email protected] to find out more.

To continue reading...

You need to sign in to use this feature. If you don’t have a RiskTech Forum account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an individual account here: