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
• Francois Cooke, Managing Director
• Patrycja Savignano, Director
• Tom Grygiel, Senior Principal Consultant
• Peter Kenny, Managing Director
• Susan La Fond, Managing Director

All webcasts are recorded and will be sent to registrants following the live broadcast.