[Webinar] 2021 FINRA & SEC Exam Letter Takeaways

What are the top regulatory topics that firms should be most focused on this year? Are there additional areas worth focusing on aside from what was mentioned in FINRA and the SEC’s exam priorities letters? Did changes in SEC leadership impact their focus areas for 2021? Get the answers to these questions and much more in our upcoming webinar!

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During this roundtable discussion, Quest CE will interview expert panelists from the Foreside team to learn how their compliance team overcame the challenges brought on by the pandemic. The panelists will also discuss some of their biggest takeaways from this year’s priorities letters. Following the conversation, the panelists will open the floor to the attendees for a Q&A session. Please join the discussion Thursday, April 15, 2021 at 12pm CST.

AGENDA:

1.) Recap of Last Year

– How Compliance Departments Persevered in 2020
– FINRA & SEC Focus Areas and Trends

2.) FINRA Exam Priorities for 2021

– Notable Takeaways
– Additional Areas of Focus for Firms
– Tips for Strengthening Conflict of Interest Management  

3.) SEC Exam Priorities for 2021

– Notable Takeaways
– Additional Areas of Focus for Firms
– Administration Changes: Will this Affect SEC Focus Areas?

4.) Overlapping Priorities

– Regulation Best Interest & Form CRS
– Information Security

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.

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The seat limit for this session is 500 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 info@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