[Webinar] FINRA and the SEC’s 2020 Exam Priorities

MILWAUKEE – February 7, 2020 – There’s no better way to kick off a new year, then by aligning your compliance initiatives with this year’s SEC and FINRA examination priorities. On February 20, 2020, join Quest CE Sales Manager, Jennifer Greene, as she provides an extensive review of this year’s new and recurring examination priorities and concludes with recommendations on how to best prepare for an onsite examination.

There are two time slots available for this year’s FINRA and SEC Exam Priorities webinar. Please join the discussion February 20, 2020 at 10am CST or 1pm CST.

– REGISTER BELOW –

AGENDA:

1.) Overview of the SEC’s 2020 Examination Priorities

     – Overview of the SEC’s Examination Letter
     – Program Accomplishments & Risk Alerts from 2019
     – Seven Areas of Focus for 2020

2.) Overview of FINRA’s 2020 Examination Priorities

     – New and Emerging Examination Priorities
     – Regulation Best Interest (Reg BI) Compliance
     – Continued Areas of Focus

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

     – Evaluate your Firm for Potential Risks
     – Strategies for Preparing for an Examination
     – Determine Whether New Policies/Procedures are Needed

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.

Register Now

*The 10AM session is now full.

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.

For more information on Quest CE, visit www.questce.com