FINRA Priorities and Hot Topics 2023
Join our discussion about how the recently released 2023 examination priorities 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 2023.
- Regulation Best Interest and Form CRS
- Anti-Money Laundering
- Electronic Storage Changes (Rule 17a-4)
- Communications Promoting ESG Factors
- Fractional Shares