Purchase recordings of these two seminar sessions:

SESSION 1:  “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

SESSION 2:  “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