FINRA Priorities and Hot Topics 2022

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 2022.

Join us April 13, 2022 when we will discuss how the recently released 2022 examination priorities may impact you and your compliance program.

Discussion Topics

• Overview of the regulatory landscape
• FINRA's 2022 examination priorities and focus areas, such as:
  • CCO liability and supervision - RN 22-10
  • Risk management
  • Digital assets
  • Communications with the public
  • Regulation Best Interest (Reg BI) and Form CRS
  • Market integrity
  • Special purpose acquisition companies (SPACs)
  • Cybersecurity

Speakers

• Carlo di Florio, Global Chief Services Officer, ACA Group
• Francois Cooke, Managing Director, ACA Group
• Shivani Choudhary, Managing Director, ACA Group
• Christine Tetherly-Lewis, Director, ACA Aponix
• Anthony Perez, Senior Principal Consultant, ACA Group
• Tom Grygiel, Senior Principal Consultant, ACA Group