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 2023.

Topics include:  

• Regulation Best Interest (Reg BI) and Form CRS
• Anti-Money Laundering
• Cybersecurity
• Trading
• Electronic Storage Changes (Rule 17a-4)
• Communications Promoting ESG Factors
• Fractional Shares

Speakers

• Carlo di Florio, Global Advisory Leader
• Francois Cooke, Managing Director
• Crista DesRochers, Partner
• Jeff Gorton, Director
• Patrycja Savignano, Director
• Tom Grygiel, Senior Principal Consultant