Compliance Newsflash – December 19, 2018

December 20, 2018

DLA is committed to keeping our clients and friends updated on relevant news and topics in the industry by distributing a weekly Compliance Newsflash. We hope this provides you with helpful and insightful information for you and your firm! Join our mailing list by clicking here: DLA Newsflash Registration.

FINRA Publishes 2018 Report on Examination Findings

On December 7th, 2018, FINRA published its 2018 Report on FINRA Examination Findings, its second annual report detailing observations from recent exams of firms. The report is the latest resource FINRA makes available to firms as a result of its ongoing organizational improvement initiative, FINRA360.

For more information, click here.

Daniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations

On December 18th, 2018, the SEC announced that Daniel Kahl was named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE). Mr. Kahl has been with the SEC for over 17 years, serving as OCIE’s Chief Counsel since February 2016. He will continue to serve as Chief Counsel while also assuming this additional leadership role in OCIE. As a Deputy Director, Mr. Kahl will be based in Washington, D.C. and, together with current Deputy Director Kristin Snyder, will oversee many of OCIE’s strategic initiatives, as well as advise OCIE’s leadership on legal, strategic, and policy matters regarding the agency’s National Exam Program. 

For more information, click here.