Watch our 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.
| On Demand | Anytime | 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:
We hope you will join us for an interactive discussion.
 |
Carlo di FlorioGlobal Chief Services Officer, ACA Compliance Group |
 |
Kavitha VenkitaPartner, ACA Compliance Group |
 |
Francois CookeManaging Director, ACA Compliance Group |
 |
Shivani ChoudharyManaging Director, ACA Compliance Group |
 |
Anthony PerezSenior Principal Consultant, ACA Compliance Group |
 |
Carrie MoreheadPrincipal Consultant, ACA Compliance Group |
 |
Tom GrygielPrincipal Consultant, ACA Compliance Group |
© 2017 - 2022 ACA Group. All rights reserved.
ACA Home | Infosec | Privacy | Terms of Use | Modern Slavery
