FINRA’s 2021 Examination and Risk Monitoring Program Report: Understanding the Report and Implications for Your Compliance Program

FINRA’s 2021 Examination and Risk Monitoring Program Report:
Understanding the Report and Implications for Your Compliance Program

Overview

This webinar discusses the 2021 Report on FINRA’s Examination and Risk Monitoring Program, issued on February 1, 2021. FINRA’s report provides insights from their ongoing regulatory operations and recent examination findings, as well as areas of focus for the coming year. In addition, the report identifies possible opportunities to help firms improve their compliance, supervisory and risk management programs.

This webinar features an expert panel from RegEd and Eversheds Sutherland (US), who provide analysis of FINRA’s report, as well as practical insight to help firms shape their compliance and business operations. The session also discusses the implications of the report for enforcement and examination activities. Panelists included Brian L. Rubin, Partner, and Ben Marzouk, Counsel, of Eversheds Sutherland (US), and Margie Webber, Director, Regulatory Compliance BD/IA, and Adam Schaub, Vice President of Platform Product Management, of RegEd.

Topics that are covered include:

• Outside Business Activities and Personal Securities Transactions
• Regulation Best Interest and Form CRS
• Anti-Money Laundering
• Communications with the Public
• Variable Annuities