Vice President, Platform Product Management
Director, Regulatory Compliance BD/IA
FINRA’s 2021 Examination and Risk Monitoring Program Report:
Understanding the Report and Implications for Your Compliance Program
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
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.