— Register Below —
FINRA and the SEC have released their 2023 Examination Priorities for the year, listing the issues and topics that will be primarily focused on during the upcoming exam season. Our panelists will dive into these topics and explain how broker-dealers and investment advisers should prepare for their exams.
Quest CE Sales Manager Alexander Drzewiecki will be joined by industry professionals Gretchen Lee, Chief Compliance Officer at Clifford Swan Investment Counselors, and Jennifer Selliers, Director, Senior Consultant at Renaissance Regulatory Services, to discuss the exam priorities and divulge their biggest, practical takeaways. Join the discussion on May 4th, 2023, at 12 PM.
Topics that will be covered during the webinar include:
- Most Notable Findings
- Practical Guidance for IAs
- Practical Guidance for BDs
Overlapping FINRA/SEC Exam Priorities
- Cybersecurity Trends on the Rise
- Personal Devices and Messaging Apps Standard Practices
- Managing Conflicts of Interest
Special Interest Regulatory Priorities
- Navigating Compliance with the Marketing Rule
- Fixed Income Disciplinary Actions
- Mitigating Private Fund Risks
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.
About Quest CE
For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.
Serving more than 2,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost-effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.