A Love Letter to BDs: FINRA’s Annual Risk Monitoring and Examination Priorities Letter

[Originally broadcast on February 14, 2019]

Description: Join us to discuss FINRA’s 2019 Annual Risk Monitoring and Examination Priorities Letter, which was issued on January 22, 2019. While it may not be love at first sight, FINRA’s Letter serves to document FINRA’s areas of focus for the coming year. In addition, firms can use FINRA’s Letter to help identify opportunities to improve their own compliance, supervisory and risk management programs.

Among the highlights of the letter are a continued focus on conflicts of interest, including Outside Business Activities (OBA) and Personal Securities Transactions, sales practice risks related to senior protection and suitability, and anti-money laundering (AML). FINRA’s Letter also indicates a growing FINRA interest in FinTech and RegTech in the securities industry.

Join RegEd and Eversheds Sutherland (US) for an overview of FINRA’s Letter and insight into how firms might interpret its content to shape their compliance and business operations to align with FINRA’s regulatory focus. The session features Brian L. Rubin, Partner, and Sarah Sallis, Associate, both of the Eversheds Sutherland (US), and Margie Webber, Director, Regulatory Compliance BD/IA, RegEd.

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A Love Letter to BDs: FINRA’s Annual Risk Monitoring and Examination Priorities Letter

[Originally broadcast on February 14, 2019]

Description: Join us to discuss FINRA’s 2019 Annual Risk Monitoring and Examination Priorities Letter, which was issued on January 22, 2019. While it may not be love at first sight, FINRA’s Letter serves to document FINRA’s areas of focus for the coming year. In addition, firms can use FINRA’s Letter to help identify opportunities to improve their own compliance, supervisory and risk management programs.

Among the highlights of the letter are a continued focus on conflicts of interest, including Outside Business Activities (OBA) and Personal Securities Transactions, sales practice risks related to senior protection and suitability, and anti-money laundering (AML). FINRA’s Letter also indicates a growing FINRA interest in FinTech and RegTech in the securities industry.

Join RegEd and Eversheds Sutherland (US) for an overview of FINRA’s Letter and insight into how firms might interpret its content to shape their compliance and business operations to align with FINRA’s regulatory focus. The session features Brian L. Rubin, Partner, and Sarah Sallis, Associate, both of the Eversheds Sutherland (US), and Margie Webber, Director, Regulatory Compliance BD/IA, RegEd.

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