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.