The Knowledge Group Has Scheduled a Live Webcast on FINRA’s 2022 Priorities: Significant Changes and Emerging Issues Affecting Your Compliance Program
The Knowledge Group, the leading producer of regulatory-focused webcasts, announced today that it has scheduled a live webcast entitled: FINRA’s 2022 Priorities: Significant Changes and Emerging Issues Affecting Your Compliance Program.
- (1888PressRelease) September 17, 2022 - This event is scheduled on September 20, 2022 from 3:00 PM to 4:30 PM ET.
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 cryptocurrency, 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
Speakers/Faculty Panel
Stephen Huschka
Attorney
Kessler Collins, P.C.
Bryon Romine
Shareholder
Kessler Collins, P.C.
Peter Homer
Attorney
Homer Bonner
For an updated list of the faculty panel, please visit:
https://knowledgewebcasts.com/know-portfolio/finras-2022-priorities-cle/
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.
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