The Financial Industry Regulation Authority ( FINRA ) has outlined its annual regulatory priorities announcing it will be scrutinising the stated and unstated rules , policies , practices and behaviours that govern how companies operate and interact with customers . In addition , its investigations will focus on anti - money behaviour , cyber security , management of conflicts of interest and technology management , amongst other things . Regulators will be looking at how discipline is meted out amongst high - producing and low producing advisers ; previously , brokerage firms generally gave second notice to their so - called top producers when violations were discovered , however , banks such as Merrill Lynch are increasingly taking a zero - tolerance approach .
The Financial Industry Regulatory Authority (FINRA) has outlined its annual regulatory priorities announcing it will be scrutinising the stated and unstated rules, policies, practices and behaviours that govern how companies operate and interact with customers. In addition, its investigations will focus on anti-money laundering, cyber security, management of conflicts of interest and technology management, amongst other things. Regulators will be looking at how discipline is meted out amongst high-producing and low producing advisers; previously, brokerage firms generally gave second chances to their so-called top producers when violations were discovered, however, banks such as Merrill Lynch are increasingly taking a zero-tolerance approach.