In this training program, attendees will learn how to gain access to the financial regulators priorities and understand how to apply those priorities to their firm. The program will also discuss incorporating the priorities into your annual review and identifying priorities that need to become part of the compliance manual/code of ethics.
Why Should You Attend:
The financial regulators generate a list of exam and enforcement priorities each year. In this webinar, learn what each financial industry participant needs to know about the 2016 regulatory initiatives. Often we make assumptions about the exam and regulatory landscape based on past exams and regulatory events, but the world of regulation in finance is always evolving. It is in the best interest of the professional, their firm and ultimately for the sake of the investor to constantly stay alerted to these priorities. It is also important to learn from those that are involved in the day to day tasks of financial compliance.Learning Objectives:
- Learn how to gain access to the financial regulators priorities
- Understand how to apply those priorities to your firm
- Incorporate the priorities into your annual review
- Distinguish which priorities need to become part of the compliance manual/code of ethics
- Determine what your firm’s financial regulatory priorities should be
- Other sources for annual priorities
Areas Covered in the Webinar:
- US Securities and Exchange Commission Priorities
- FINRA Priorities
- Discussion on State Regulator Priorities
- Implementing the Priorities
- Effectively Communicating the Priorities
- Background on the Priorities
Who Will Benefit:
- Financial Advisory
- Investment Management
- Financial Compliance
- Financial Audit
- Financial Risk Management
Course Provider
Lisa Marsden,
