Due to the delayed release of the SEC & FINRA Exam Priorities, this session will be postponed until April 21st, but the Risk Management session will still be offered on February 18th.  Registration is still packaged together for these two sessions.  Take note of date changes:

February 18th (1:00 PM – 2:15 PM EST) 

“Make it Matter: Effective Risk Management”

This session will address the importance of risk management and how it dovetails with a compliance program.  Attendees will learn about the control environment, how to assess and improve it, followed by how to perform risk identification, assessment, mitigation and monitoring.

Learning Objectives:

• Compare the similarities and differences between various risk management frameworks
  
• Understand internal controls and how they are designed to mitigate risks
  
• Discuss the importance of the control environment
  
• Learn how to perform an effective risk identification and assessment
  
• Hear how to create an effective risk monitoring program

April 21st  (1:00 PM – 2:15 PM EST) 

“Incorporating SEC & FINRA Exam Priorities into Your Compliance Program”

This session will focus on FINRA’s and the SEC’s 2021 examination priorities as they relate to: promoting compliance, preventing fraud, identifying and monitoring risk, and informing policy. Best practices in high-risk areas will be covered for firms of all sizes.  Attendees will leave with best practices they can use and apply to their firm.

Learning Objectives:

• Compare new and emerging priorities with on-going priorities
• Analyze the regulatory exam priorities for your firm’s potential risks
• Determine which topics may require new/updated policies and procedures, supervision and testing
• Manage the regulatory expectations for the new priorities and consider the SEC’s Exam Observation Alerts
• Use these regulatory exam priorities as a roadmap to help promote compliance