Every year, FINRA and the SEC tell broker-dealers exactly what they perceive as heightened risks to the market and investors. In this way, regulators send a clear message of what to expect during exams in the coming year. As a compliance officer, this is the roadmap that sets the tone for your efforts for 2019 and beyond.
Our industry experts will discuss some of the risks spotlighted for 2019:
- Supervision of Digital Assets Business
- Regulatory Technology
- Adequacy of firms’ cybersecurity programs to protect sensitive information
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