On January 22, 2019, FINRA released the thirteenth edition of its “Risk Monitoring and Examination Priorities Letter.” As broker-dealer compliance personnel review their compliance program enhancements for 2019, they should focus on the “areas of significance” designated by FINRA.
To help your compliance initiatives for this year, ACA Compliance Group will present its annual complimentary FINRA Hot Topics webcast on Tuesday, March 19, 2019, at 2:00 p.m. EDT.
Our speakers, Thomas Grygiel, Principal Consultant, ACA Compliance Group, Brynn Rail, Counsel, Ropes and Gray and Jason H. Gerb, Chief Compliance Officer, Foresters Financial will lead the discussion and take questions.
Discussion topics include:
- Suitability, Including Concerns Relating to Senior Investors
- Outside Business Activities and Private Securities Transactions
- Reasonable Diligence for Private Placements
- 529 Share Class Initiative
- Pre-inception index performance data in institutional communications