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.
- 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.
- 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