Bryon Romine, Shareholder, Kessler Collins, P.C. to Speak at The Knowledge Group’s FINRA’s 2022 Priorities
The Knowledge Group, the leading producer of regulatory-focused webcasts, has announced today that Bryon Romine, Shareholder, Kessler Collins, P.C. will speak at its webcast entitled, “FINRA’s 2022 Priorities: Significant Changes and Emerging Issues Affecting Your Compliance Program.”
- (1888PressRelease) September 19, 2022 - This event is scheduled for September 9, 2022 from 12:00 PM to 1:30 PM ET.
For further details, please visit: https://knowledgewebcasts.com/know-portfolio/finras-2022-priorities-cle/
About Bryon Romine
Bryon’s practice focuses on commercial litigation in state and federal court and arbitration proceedings before the American Arbitration Association and the Financial Industry Regulatory Authority (FINRA). He also represents clients in regulatory matters, including investigations and proceedings brought by the SEC, FINRA and state accounting boards. Bryon represents a wide spectrum of clients including broker-dealers, registered investment advisors, registered representatives and other financial services professionals, including accountants, insurance agents and lawyers. He also represents clients in shareholder disputes.
About Kessler Collins, P.C.
The attorneys of Kessler Collins have a wealth of education and experience. Yet, despite the scope of credentials, you would be hard pressed to find a more accessible firm. We thrive on interacting with our clients, and we take pride in the many long-term relationships we have cultivated. These relationships continue because we invest in our clients by providing services that enhance their business and increase their success.
Kessler Collins employs a team-based approach to our clients’ business to ensure the availability of attorneys who are aware of their issues and can address them, promptly. We work hard to not only learn our clients’ businesses but also develop thought leadership on the issues that affect their industries. We pride ourselves on knowing the law and the surrounding facts and circumstances for the matters we handle. Many of our attorneys have been practicing for more than 25 years each. We have board certified attorneys, attorneys who are members of the College of the State Bar of Texas, attorneys who have been named as among the best in their field by rating groups, and attorneys who have real life experience in the business world. We know what we can do, and we do it well.
Event Summary
The Financial Industry Regulatory Authority (FINRA) recently released the 2022 Report on FINRA’s Examination and Risk Monitoring Program which presents findings from the latest examination process. The report highlights newly identified risk areas including cybersecurity, Regulation Best Interest (Reg BI), and mobile applications and digital platforms. Likewise, it also identifies applicable rules and key considerations for the compliance programs of member institutions.
The number of FINRA initiatives underscores the need for FINRA members to be up-to-date with relevant regulatory developments. As increased scrutiny is expected in the coming months, it is vital for institutions to review their procedures to fulfill their compliance obligations and avoid potential legal liabilities.
Join a panel of key thought leaders and distinguished professionals organized by The Knowledge Group as they provide a comprehensive discussion of the latest enforcement priorities of the FINRA. Speakers, among other things, will also offer practical tips and strategies to overcome compliance challenges in this ever-changing regulatory landscape.
Key topics include:
• The 2022 Report of FINRA Examination and Risk Monitoring Program
• FINRA’s Latest Enforcement Priorities
• Existing and Emerging Issues that Will Likely Impact Your Compliance Program
• Best Practices During FINRA Exams
• What Lies Ahead
About The Knowledge Group
Founded in November 2006, The Knowledge Group has been at the forefront of providing quality continuing education programs for lawyers, accountants, financial executives, risk and compliance specialists, human resources professionals, technology officers, and business consultants in a wide range of industries.
The Knowledge Group strives to be the best-in-class provider of continuing education by bringing forth relevant content you can’t get anywhere else.
###
space
space
Satisfied Users & 
Approved Press Releases
Print
Email
Report Spam