This is the new MLex platform. Existing customers should continue to use the existing MLex platform until migrated.
For any queries, please contact Customer Services or your Account Manager. Dismiss

Finra to issue guidance on oversight of brokers with history of misconduct

By Neil Haggerty ( June 12, 2017, 19:47 GMT | Insight) -- ​The Financial Industry Regulatory Authority plans to issue guidance to firms about their responsibility to oversee brokers who have a history of misconduct, Finra President Robert Cook said. The guidance, due in coming months, is to be distributed at the same time that the industry self-regulator is due to have a rule proposal pending to tighten controls on bad actors.The Financial Industry Regulatory Authority plans to issue guidance to firms about their responsibility to oversee brokers  who have a history of misconduct, Finra President Robert Cook said....

Prepare for tomorrow’s regulatory change, today

MLex identifies risk to business wherever it emerges, with specialist reporters across the globe providing exclusive news and deep-dive analysis on the proposals, probes, enforcement actions and rulings that matter to your organization and clients, now and in the longer term.


Know what others in the room don’t, with features including:

  • Daily newsletters for Antitrust, M&A, Trade, Data Privacy & Security, Technology, AI and more
  • Custom alerts on specific filters including geographies, industries, topics and companies to suit your practice needs
  • Predictive analysis from expert journalists across North America, the UK and Europe, Latin America and Asia-Pacific
  • Curated case files bringing together news, analysis and source documents in a single timeline

Experience MLex today with a 14-day free trial.

Start Free Trial

Already a subscriber? Click here to login

Related Sections