Risk Control Assessment (RCA) Survey

The Risk Control Assessment (RCA) is a survey FINRA uses to better understand the business activities that individual member firms engage in, the products and services they sell, and the kinds of clients and counterparties they deal with, and to identify and help us prioritize the underlying risks associated with that business model. In addition, the RCA is designed to help us identify and assess the integrity of the controls intended to manage those attendant risk exposures.

The RCA is an important part of FINRA’s risk-based examination program, in that the information collected from firms helps us better understand firms’ businesses so examiners can arrive for examinations focused on any areas that pose a real risk to investors.

On April 7, 2014, FINRA delivered an email to each firm’s executive representative with a survey link that is unique to their firm. Firms are asked to complete the survey by Friday, May 16, 2014.

If you have questions, please contact the FINRA Help Desk at (240) 386-4001.