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Join us on April 15th at 12PM CST as our panel of compliance experts breaks down FINRA and the SEC’s 2025 Examination Priorities. This essential webinar will equip CCOs of investment advisers and broker-dealers with practical strategies to successfully navigate upcoming regulatory exams.
Quest CE’s Manager of Sales & Strategic Accounts, Alexander Drzewiecki, will moderate a discussion featuring Jessica Murray, Chief Compliance Officer at American Elm Advisors, LLC, and Eden Turner, CAMS, Managing Director, Asgard Regulatory Group, LLC. Drawing from their extensive frontline experience, our speakers will share practical insights on preparing for and responding to regulatory scrutiny in 2025.
Join the discussion on April 15th at 12PM CST.
Topics that will be covered during the webinar include:
Setting the Stage
- Decoding the Letters and Recent Exam Insights
Cross-Regulatory Priorities
- Artificial Intelligence Implementation
- Off-Channel and Recordkeeping Trends
- Third-Party Vendor Due Diligence
Critical FINRA Focus Areas
- Oversight of Alt Investments & Complex Products
- Remote Supervision & RSL Locations
- OBAs/PSTs Management
SEC Examination Hotspots
- AML: BD Tips & the New AML Rule for IAs
- Reg BI Exam Trends and Fiduciary Obligations
- Small Firm Compliance Program Shortcomings
Open Q&A
The seat limit for this session is 500 participants and is anticipated to run for an estimated 45-60 minutes. If you or an associate is unable to attend the webinar but would still like a demonstration/copy of the presentation, please contact us here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.
