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 the rest of 2020 and beyond.
Join us for this 30 minute briefing where Proofpoint’s Regulatory Counsel will cover the recent changes in the regulatory landscape. Topics will include:
- Takeaways from FINRA’s 2020 Exam Priorities
- How firms are preparing for Regulation Best Interest (June 2020)
- Key elements in the SEC’s Cybersecurity Guidance and how to prepare
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