2019 FINRA and SEC Exam Priorities Webinar

MILWAUKEE – February 19, 2019 – As you begin mapping out your annual compliance program this year, it’s important to take FINRA and the SEC’s examination priorities into careful consideration. In this webinar, Quest CE Sales Manager, Jennifer Greene, will summarize the examination priorities letters and offer tips on how to prepare for your next onsite investigation. Please join the discussion on Wednesday, March 6 at 12:00PM CT or Thursday, March 7 at 12:00PM CT. 

— REGISTER BELOW —

AGENDA:

1.) Overview of the SEC’s 2019 Examination Priorities

  • Overview of the SEC’s Examination Letter
  • Program Accomplishments & Enforcement Actions from 2018
  • Repeat Priorities Applicable to Private Fund Advisors

2.) Overview of FINRA’s 2019 Examination Priorities

  • Overview of FINRA’s Examination Letter
  • Overall Concerns and Guiding Principals

3.) Takeaways: What Does this Mean for my Firm?

  • Strategies for Preparing for an Examination
  • Evaluate your Firm for Potential Risks

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.

Wednesday Session: Full Register for Thursday >>

The seat limit per session is 100 participants. If you or an associate is unable to attend the webinar series but would still like a demonstration/copy of the presentation, please contact our sales team at 877-593-3366 or sales@questce.com.

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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 1,000 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.