The self-regulator aims to combine enforcement with industry expertise, education and stakeholder engagement to identify and address risks before disciplinary action becomes necessary.
Financial Industry Regulatory Authority, Inc. (Finra) has outlined plans to enhance its enforcement programme after receiving an independent review commissioned under its Finra Forward initiative. The review emphasised the value of a regulatory approach balancing enforcement with industry expertise The assessment offers recommendations aimed at strengthening enforcement and supporting Finra’s broader mission of investor protection, market integrity and healthy capital markets. It was&n