With the SEC & FINRA 2020 examination priorities letter released, we will take a closer look at the trends in 2019 and what to look for in 2020.
In the letters, the regulators highlight their top priorities while reminding firms of the need to adopt comprehensive supervisory processes that will ensure compliance and exam preparedness. Companies should expect that the SEC & FINRA won't tolerate inadequacy or indifference to compliance in the year ahead.
Join Elin Cherry from Elinphant, L.L.C. with Robert Cruz and Marianna Shafir from Smarsh on January 28th as they review:
- Top priorities, including communications with the public, fintech, and Regulation Best Interest (Reg BI)
- Items directly impacting supervisory review processes
- How to prepare for exams in 2020
Senior Director of Information Governance, Smarsh
Robert Cruz is Senior Director of Information Governance for Smarsh and Actiance. He has more than 20 years of experience in providing thought leadership on emerging topics including cloud computing, information governance, and Discovery cost and risk reduction.
Regulatory Advisor, Smarsh
Marianna Shafir is Regulatory Advisor at Smarsh, where she’s responsible for regulatory affairs worldwide. With her expertise in financial services industry, compliance and eDiscovery, Marianna counsels Smarsh clients on meeting regulatory obligations, leveraging technology and guidance on best practices related to electronic communications supervision. Prior to joining Smarsh, Marianna worked for BNY Mellon and Invesco where she was an instrumental member on compliance teams. Marianna has also served as an adjunct professor at New York Career Institute where she taught Law Office Management and Real Estate Law. She earned her Juris Doctorate from Nova Southeastern University. She is a frequent speaker at industry conferences and a contributor to various online publications.
Founder and CEO, Elinphant, L.L.C.
Elin Cherry is founder and CEO of Elinphant, L.L.C., a financial compliance consulting firm. She is a Capital Markets and Compliance Executive who has served as a key member of Compliance Senior Management teams. Known for gaining regulator confidence, she has a proven track record in managing regulatory relations and examinations and has strengthened firm’s credibility with regulators during times of financial stress. Elin is adept at successfully implementing Compliance Programs to enable firms to be proactive regarding compliance matters. Prior to founding Elinphant, Elin was a Principal and the Head of Capital Markets at Compliance Risk Concepts (“CRC”). In that role, she grew a book of business generating half a million dollars in revenue.