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Webcast

FINRA Priorities and Hot Topics 2021

Join us Thursday, March 11 at 11:00 am EST for a live webcast on FINRA Priorities and Hot Topics to learn more about how the recently released priorities may impact you and your compliance program. 

This webcast will review key priorities and emerging risks identified by FINRA, share perspective on key challenges firms are facing in these areas, and effective practices firms can implement to be well positioned for a successful 2021.  ​​​​​​

Thursday, March 11, 2021 11:00 AM EST Your Desk!

On February 1, 2021, FINRA released its Risk Monitoring and Examination Priorities report for 2021. The report's format has changed this year, combining two previously published annual reports, the Report on Examination Findings and Observations and the Risk Monitoring and Examination Program Priorities Letter. The report outlines noteworthy takeaway's and practices from recent exams and addresses18 regulatory risk areas.

During this webcast, we'll discuss:

  • FINRA's 2020 examination findings
  • FINRA's 2021 examination priorities and focus areas such as: 
    • Reg BI and Form CRS
    • Communications with the public
    • Remote branch inspections
    • Private placements
    • Digital assets
    • AML emerging risks
    • Cybersecurity
  • Broader FINRA themes for 2021

We hope you will join us for an interactive discussion.

Speakers

Carlo di Florio

Carlo di Florio

Global Chief Services Officer, ACA Compliance Group

Kavitha Venkita

Kavitha Venkita

Partner, ACA Compliance Group

Francois Cooke

Francois Cooke

Managing Director, ACA Compliance Group

Shivani Choudhary

Shivani Choudhary

Managing Director, ACA Compliance Group

Anthony Perez

Anthony Perez

Senior Principal Consultant, ACA Compliance Group

Carrie Moorehead

Carrie Morehead

Principal Consultant, ACA Compliance Group

Tom Grygiel

Tom Grygiel

Principal Consultant, ACA Compliance Group

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