2025 FINRA Priorities and Hot Topics

Join us as we discuss how the recently released FINRA 2025 Regulatory Oversight Report may impact you and your compliance program. 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 2025.

Topics include:

• AI governance
• Cryptocurrencies
• Remote branch office inspections and residential supervisory location designation
• Anti-money laundering (AML)
• Vendor management and third parties
• Cybersecurity
• Market integrity
• Regulation Best Interest (Reg BI)
• Investment performance

Speakers

• Carlo di Florio, President, ACA Group
• Francois Cooke, Managing Director, ACA Group
• Julia Reyes, Partner, ACA Group
• Kris Lau, Managing Director, ACA Group
• Patrycja Savignano, Director, ACA Group
• Tom Grygiel, Senior Principal Consultant, ACA Group