This webcast will review key priorities and emerging risks identified by FINRA, challenges firms are facing in these areas, and effective practices firms can implement to be well positioned for a successful 2022.
Join us April 13, 2022 when we will discuss how the recently released 2022 examination priorities may impact you and your compliance program.
Discussion Topics
- Overview of the regulatory landscape
- FINRA’s 2022 examination priorities and focus areas, such as:
- CCO liability and supervision – RN 22-10
- Risk management
- Digital assets
- Communications with the public
- Regulation Best Interest (Reg BI) and Form CRS
- Market integrity
- Special purpose acquisition companies (SPACs)
- Cybersecurity
Speakers
- Carlo di Florio, Global Chief Services Officer, ACA Group
- Francois Cooke, Managing Director, ACA Group
- Shivani Choudhary, Managing Director, ACA Group
- Christine Tetherly-Lewis, Director, ACA Aponix
- Anthony Perez, Senior Principal Consultant, ACA Group
- Tom Grygiel, Senior Principal Consultant, ACA Group