On January 8, 2020, FINRA released its Risk Monitoring and Examination Priorities Letter for 2020. The letter’s format has changed to concentrate on new risk areas. Broker-dealer compliance personnel should consider both the new risk areas as well as the repeated focus areas in their compliance enhancements for 2020.
To help your compliance initiatives for this year, ACA Compliance Group will present its annual complimentary FINRA Hot Topics webcast on Tuesday, March 10, 2020 at 2:00pm EST.
- Carlo di Florio, Global Chief Services Officer, ACA Compliance Group
- Francois Cooke, Managing Director, ACA Compliance Group
- Ignacio Sandoval, Partner, Morgan, Lewis & Bockius LLP
This webcast will cover:
- FINRA's 2019 Actions and Examination Findings
- FINRA's 2020 Examination Priorities
- Sales Practice and Supervision
- Market Integrity
- Financial Management
- Firm Operations
- Broader Themes FINRA will be looking for in 2020