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Webcast

FINRA Priorities and Hot Topics 2022

Watch our webcast on FINRA Priorities and Hot Topics to learn more about how the recently released priorities may impact you and your compliance program. 

This webcast will review key priorities and emerging risks identified by FINRA, share perspective on key challenges firms are facing in these areas, and effective practices firms can implement to be well positioned for a successful 2022.  ​​​​​​

On demand Any time Your Desk!

Discussion Topics

During this webcast, we'll discuss:

  • Overview of the regulatory landscape
  • FINRA's 2022 examination priorities and focus areas such as: 
    • CCO liability and supervision - RN 22-10
    • Risk management
    • Digital assets
    • Communications with the public
    • Regulation Best Interest (Reg BI) and Form CRS
    • Market integrity
    • Special purpose acquisition companies (SPACs)
    • Cybersecurity 

We hope you will join us for an interactive discussion.

Speakers

Carlo di Florio

Carlo di Florio

Global Chief Services Officer, ACA Group

Francois Cooke

Francois Cooke

Managing Director, ACA Group

Shivani Choudhary

Shivani Choudhary

Managing Director, ACA Group

Christine Tetherly-Lewis

Christine Tetherly-Lewis

Director, ACA Aponix

Anthony Perez

Anthony Perez

Senior Principal Consultant, ACA Group

Tom Grygiel

Tom Grygiel

Senior Principal Consultant, ACA Group

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