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
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Carlo di Florio
Global Chief Services Officer, ACA Compliance Group
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Kavitha Venkita
Partner, ACA Compliance Group
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Francois Cooke
Managing Director, ACA Compliance Group
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Shivani Choudhary
Managing Director, ACA Compliance Group
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Anthony Perez
Senior Principal Consultant, ACA Compliance Group
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Carrie Morehead
Principal Consultant, ACA Compliance Group
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Tom Grygiel
Principal Consultant, ACA Compliance Group
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