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If you’re like us, you’ve probably already read (and maybe even re-read) both FINRA and the SEC’s 2022 examination priorities letters. You’ve combed through all 92 pages of content to determine the biggest impact on your firm. It’s a ton of information and, of course, it’s all important for compliance. Naturally, it felt like the perfect topic to boil down into an hour-long webinar!
Please join us Thursday, May 5, 2022 at 12pm CST, where Quest CE staff will be joined by two expert panelists to learn how their firms plan to address this year’s ongoing and evolving examination priorities. During this time, we’ll cover a wide variety of trending topics such as ESG investing, information security, Reg BI, and much more!
1.) Analyzing the FINRA & SEC Exam Priorities Letters
- Interesting Takeaways
- Biggest Focus Area for Broker-Dealers
- Biggest Focus Area for Registered Investment Advisors
2.) Top FINRA/SEC Exam Priorities for 2022
- Getting a Handle on OBAs and PSTs
- ESGs: Proceed with Caution
3.) Overlapping Priorities
- Ongoing Anti-Money Laundering Challenges
- Recent Movement on the Cybersecurity Front
- Cracking Down on Reg BI & Form CRS
We hope that by sharing these areas of potential examination focus, you and your firm will be well armed to assess your compliance operations, internal controls, and supervisory systems.
The seat limit for this webinar has reached full capacity. If you or an associate is unable to attend the webinar series but would still like a demonstration/copy of the presentation, please contact us at firstname.lastname@example.org.
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.