ACA Global


FINRA Priorities and Hot Topics 2023


Join us when we discuss how the recently released 2023 examination priorities may impact you and your compliance program

On Demand


Register Here

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


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