FINRA & SEC 2020 Exam Priorities Course Released
MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog.
It’s the news we all wait on pins and needles for – the SEC and FINRA annual examination priorities letters. While regulators are definitely focusing a majority of their attention on recurring issues, there are a handful of developing risks that firms should pay special attention to this year. In the course, “FINRA and SEC Examination Priorities for 2020,” we’ll summarize the SEC and FINRA’s recently released examination letters, discuss any changes to be expected in 2020, including the implementation of the Regulation Best Interest rule, and provide strategies for preparing for an onsite examination.
Course Agenda Includes:
– Overview of the SEC’s 2020 Exam Priorities
– The SEC by the Numbers
– Awareness Raised Through Risk Alerts
– SEC 2019 Examinations Findings
– SEC Leading Focus Areas for 2020
– 2020 FINRA Annual Risk Monitoring and Examinations Priorities
– New and Emerging Examination Priorities
– Regulation Best Interest FAQ updates
– Form CRS FAQ Updates
– FINRA Annual Risk Monitoring & Exam Priorities
– Ongoing Examination
– Market Integrity Examination Priorities
– New Areas of Focus for 2020
– Firm Operations and Supervisory Controls
– Examination Preparation Tips
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail firstname.lastname@example.org. To view Quest CE’s Firm Element course catalog, click 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 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.