WEBINAR: 2016 FINRA and SEC Exam Priorities

With so much on the line, broker-dealers simply can’t afford to ignore the early warning signs of what FINRA and the SEC expect to see from their compliance departments in 2016. In this 45-minute webinar, we’ll spotlight both FINRA and the SEC’s top examination priorities for the year, highlight overlapping principles, provide strategies for building a culture of compliance and showcase upcoming trends. Please join the discussion Wednesday, March 16th at 10am or 2pm.

AGENDA:

  1. A Recap of Fines and Regulation in 2015
    • Enforcement Issues
    • Restitution, Fines and Disciplinary Actions
    • Examination Trends
  2. Overview of FINRA and the SEC’s 2016 Exam Priorities Letters
    • Overlapping Principles/Reoccuring Priorities
    • Key FINRA Issues: Culture, Supervision, Risk Management and Controls
    • Key SEC Issues: Retail Investors, Data Analytics, Cybersecurity
  3. Takeaways: What Does this Mean for my Firm?
    • New Steps: Strategies for Preparing for an Investigation
    • 2016 FINRA Culture of Compliance
    • The Fiduciary Rule & DOL

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.


Join us Wednesday March 16, 2016

Session Expired. 

 The 10:00 AM (CST) session is at capacity and is closed to further registrants.
Please register for the 2:00 PM (CST) session above.


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 twenty-five 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 also provides a complete spectrum of proprietary technology solutions for managing and supervising 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 seeking training and compliance needs. For more information on Quest CE, visit http://www.questce.com.