Financial firms bracing for more troubleshooting from the Financial Industry Regulatory Authority should stick to traditional values: making sure their advisors understand the products they sell and truly acting in the best interest of the client, FINRA Chairman and Chief Executive Richard Ketchum said Tuesday.
Those core principles still apply even as FINRA, the largest U.S. independent securities regulator, moves forward with plans to tweak the way they evaluate firms, Ketchum said in a keynote address at FINRA’s annual conference.
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