FINRA Vendor-Management Guidance: You Can’t Outsource Responsibility
Burr Forman
AUGUST 17, 2021
On August 13, 2021, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 21-29, collecting guidance on outsourcing and vendor management. Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. Tom is licensed in Tennessee, Texas, and Louisiana.
52 
Let's personalize your content