How to Meet FINRA and SEC Archiving and Supervision Regulations

With FINRA and the SEC recently announcing their focus for their 2016 audits and examinations, now is a great time to revisit what your firm must be doing to meet your compliance obligations.

Without adequate supervision strategies in place, firms are exposed to enormous risk.

In this webinar, supervision and compliance expert Ray McGrath discusses the current landscape of regulations, including:

  • Which regulations are the most relevant for Broker Dealers and RIAs
  • Where FINRA and the SEC will focus in their 2016 audits and examinations
  • Tips and best practices for improving your compliance and supervision practices

        Ray McGrath

        Supervision and Compliance Expert

        As a consultant, Ray brings over 17 years of leadership and regulatory knowledge in the financial services industry. He assists firms with designing digital communication compliance and supervision processes. This includes working with firms to customize policy rules and lexicons, as well as streamlining reviews.