2024 FINRA Hot Topics and Priorities

Join us as we discuss how the recently released FINRA 2024 Regulatory Oversight Report may impact you and your compliance program. This webcast will review key priorities and emerging risks identified by FINRA, challenges firms are facing in these areas, and effective practices firms can implement to be well positioned for a successful 2024.

Topics include

• Remote branch office inspections and residential supervisory location designation
• Surveillance
• Regulation Best Interest (Reg BI)
• Anti-money laundering (AML)
• Cryptocurrencies
• AI and other emerging risks
• Outside business activities

Speakers

• Carlo di Florio, Global Advisory Leader, ACA Group
• Francois Cooke, Managing Director, ACA Group
• Patrycja Savignano, Director, ACA Group
• Tom Grygiel, Senior Principal Consultant, ACA Group
• Peter Kenny, Managing Director, ACA Group
• Susan La Fond, Managing Director, ACA Group