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WEBINAR
FINRA’s 2022 Examination and Risk Monitoring Program Report:
Understanding the Report and Implications for Your Compliance Program
Originally aired March 8th, 2022
Presenters
Brian Rubin
Partner
Eversheds Sutherland
Charles Schmidt
Special Counsel
Eversheds Sutherland
Margie Webber
Director, Regulatory Compliance BD/IA
RegEd
Adam Schaub
VP, Platform Product Management
RegEd
Overview
During this webinar we discuss the 2022 Report on FINRA’s Examination and Risk Monitoring Program, issued on February 9, 2022. 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 will 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.
Topics covered:
- Regulation Best Interest and Form CRS
- Trusted Contact Persons
- Cybersecurity and Technology Governance
- Communications with the Public
About RegEd
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.