Jeffrey Holik, Consultant, Renaissance Regulatory Services to Speak at The Knowledge Group’s FINRA’s Heightened Sanction Guidelines
The Knowledge Group Live Webcast Series has announced today that Jeffrey Holik, Consultant, Renaissance Regulatory Services will speak at The Knowledge Group’s webcast entitled: “FINRA’s Heightened Sanction Guidelines: What To Expect in 2019 LIVE Webcast.”
- (1888PressRelease) January 11, 2019 - This event is scheduled for January 16, 2019 from 3:00pm to 5:00pm (ET).
For further details, please visit:
https://www.theknowledgegroup.org/webcasts/finras-heightened-sanction-guidelines/
About Jeffrey Holik
Jeffrey Holik is a consultant with RRS, where he provides regulatory support to the financial industry, including banks, broker-dealers, and advisers. Jeff is an accomplished securities professional with 25 years of experience as the general counsel of a bank-affiliated investment business, as a senior financial services regulator, and in private law practice. He has experience with sales practice investigations; product approval and due diligence issues; and FINRA processes, including regulatory reporting, the exam program, eligibility (statutory disqualification) issues, and membership application matters. Mr. Holik brings the perspective of a former senior regulator to his work. He served for ten years in several policy and management positions at FINRA, including Senior Vice President in the Office of General Counsel and in the Department of Member Regulation. Prior to FINRA, Jeff was Deputy Director of Enforcement at the Commodity Futures Trading Commission.
About Renaissance Regulatory Services
Renaissance Regulatory Services (RRS) is founded on the premise that the financial services industry is constantly changing. New products and services, changing regulations and globalization create unique issues in compliance and operations for firms of all sizes and business models. To Manage Through Change, firms must have the ability to quickly recognize and respond to the compliance and operational challenges that arise.
We provide comprehensive compliance, operational consulting, and compliance support services to broker-dealers, investment advisers, hedge funds, and investment companies. Specializing in SEC and FINRA compliance examinations, written supervisory procedures, internal controls, financial reporting, and registration services, RRS’ staff has the experience and insight to meet all your regulatory and compliance needs. Services are customized to your organization’s operations and in most cases performed on site. RRS’ consultants and partners consist of former regulators and compliance professionals.
Event Synopsis:
In May 2018, the Financial Industry Regulatory Authority (FINRA) released its amendments to the Sanction Guidelines that revamped the assessment of sanctions in disciplinary proceedings. Under these revisions, customer arbitration history should be taken into consideration by adjudicators when determining the severity of disciplinary sanction to be imposed. The revisions cover disciplinary complaints filed beginning June 1, 2018.
In this LIVE Webcast, a panel of distinguished professionals and thought leaders organized by The Knowledge Group will provide an in-depth discussion of latest updates and developments in FINRA’s Sanction Guidelines. Speakers will dig deeper as they analyze its implications and provide best practices to prevent risks and pitfalls.
Key topics include:
• FINRA’s Sanction Guidelines: An Overview
• Recent Trends and Developments in FINRA’s Sanction Guidelines
• Common Pitfalls and Risk Issues
• Risk Mitigation Techniques and Best Practices
• What Lies Ahead
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register for an event, please visit: http://theknowledgegroup.org/
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