Now that the SEC & FINRA 2020 examination priorities letters have been released, we will take a closer look at the trends in 2019 and what to look for in 2020.
In the letters, the regulators highlighted their top priorities while reminding firms of the need to adopt comprehensive supervisory processes that will ensure compliance and exam preparedness. Companies should expect that the SEC & FINRA won’t tolerate inadequacy or indifference to compliance in the year ahead.
Join Elin Cherry from Elinphant, LLC and Robert Cruz and Marianna Shafir from Smarsh on January 28th as they review:
* Top priorities, including communications with the public, fintech, and Regulation Best Interest (Reg BI)
* Items directly affecting supervisory review processes
* How to prepare for exams in 2020