[Webinar] Top FINRA/SEC Exam Priorities for 2018

It’s the news we all wait for on pins and needles – FINRA and the SEC’s annual examination priorities. While regulators are definitely focusing a majority of their attention on reoccurring issues, there are a handful of developing risks for firms’ to pay special attention to this year. In this webinar, Quest CE’s Sales Manager, Jennifer Greene, will summarize the SEC and FINRA’s recently released examination letters, discuss any changes to be expected in 2018 and provide strategies for preparing for an onsite examination. Please join the discussion February 27, 2018 at 10am CST.

— REGISTER BELOW —

AGENDA:

1.) Overview of FINRA’s 2018 Examination Priorities

  • Top Five Areas of Regulatory Focus
  • New Rules
  • Continuity and Change in FINRA’s Programs

2.) Overview of the SEC’s 2018 Examination Priorities

  • Key SEC Issues: FINRA and MSRB Firms
  • Hot Button Developments
  • Overall Concerns and Guiding Principals

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

  • Major Fines From 2017
  • Strategies for Preparing for an Examination
  • Characteristics of Firms being Targeted

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 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