Key Takeaways from FINRA and SEC Guidance for 2017

Both FINRA and the SEC have released letters detailing what their examinations will focus on in 2017.  The more firms understand regulators’ priorities for the year, the better they can prepare for the possibility of a regulatory audit.

Join us as we unpack several of the key takeaways from FINRA’s recently published 2017 Priorities Letter and the OCIE’s National Exam Priorities Letter and discuss how they will impact member firms. Financial services compliance expert Stephen Murphy from NCS Regulatory Compliance is in the studio with us for this one – don’t miss out on the opportunity to be a part of the discussion centered on what the regulators are saying firms need to focus on to protect investors, market integrity, and their own business in 2017.

Topics covered include:

  • Key takeaways that firms can use to navigate through examinations in 2017
  • How this latest set of priorities will impact the compliance role within your firm
  • Responding to regulator priorities with the proper procedures, polices and technology

The new year is young – attend this webinar and get ahead of new requirements for 2017.

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Stephen Murphy

Vice President, NCS Regulatory Compliance

Stephen Murphy joined NCS Regulatory Compliance in August 2015 as director of the New York office, bringing more than 25 years’ experience in the capital markets as a trader, broker, Chief Compliance Officer, operations officer, FinOp, and Chief Executive Officer. Mr. Murphy serves as the Chief Compliance Officer and Compliance Consultant to numerous firms in the New York area and across the country, and is responsible for business development in the New York region as well as overseeing the broker-dealer division of the firm.

As a Chief Operating Officer and most recently Chief Executive Officer, Mr. Murphy has a deep appreciation for how to optimally balance building compliance and process into every organization, while nurturing the business’s need to grow with regulatory confidence. Whether a small Investment Adviser or Broker Dealer, or a Global Firm managing across several continents, he has deployed his business acumen, product knowledge, and compliance expertise to provide integrated, sophisticated compliance consulting.

Mike Pagani

Chief Evangelist

Mike Pagani is Senior Director of Product Marketing and Chief Evangelist at Smarsh. He is a seasoned IT professional and recognized subject matter expert in the areas of mobility, identity and access management, network security and virtualization. In his role, Mike also works with industry regulators, such as the SEC and FINRA, to keep customers and partners informed of the latest developments and requirements related to electronic communications compliance.