WEBINAR
FINRA’s Love Letter to BDs: FINRA’s Annual Risk Monitoring and Examination Priorities Letter
Presented by

Brian Rubin
Sarah Sallis.JPG
Margie Webber (full head shot).jpg
Brian Rubin

Partner

Eversheds Sutherland
Sarah Razaq Sallis

Associate

Eversheds Sutherland
Margie Webber

Director, Regulatory Compliance BD/IA

RegEd, Inc.

Date Thursday, February 14th

Time 3:00 - 4:00 PM EST

Overview

Join us on Valentine’s Day to discuss FINRA’s 2019 Annual Risk Monitoring and Examination Priorities Letter, which was issued on January 22, 2019. While it may not be love at first sight, FINRA’s Letter serves to document FINRA’s areas of focus for the coming year. In addition, firms can use FINRA’s Letter to help identify opportunities to improve their own compliance, supervisory and risk management programs.

Among the highlights are a continued focus on conflicts of interest, including Outside Business Activities (OBA) and Personal Securities Transactions, sales practice risks related to senior protection and suitability, and anti-money laundering (AML). FINRA’s Letter also indicates a growing FINRA interest in FinTech and RegTech in the securities industry.

Join RegEd and Eversheds Sutherland (US) for an overview of FINRA’s Letter and insight into how firms might interpret its content to shape their compliance and business operations to align with FINRA’s regulatory focus. The session will feature Brian L. Rubin, Partner, and Sarah Sallis, Associate, both of the Eversheds Sutherland (US), and Margie Webber, Director, Regulatory Compliance BD/IA, RegEd.

The Valentine “petals” from our rose of a program will include:

  • 529 Plan Share Class Initiative
  • Protection of Senior Investors
  • Suitability
  • The rise of RegTech and FinTech
  • Outside Business Activities (OBA) and Personal Securities Transactions
  • Anti-money laundering (AML)
  • Best last-minute Valentine Day presents (time permitting)