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Common Exam Deficiencies and Effective Practices

SKU: FR100
Total Credits
1 - 1.2
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This program provides guidance on taking corrective action and updating compliance procedures and practices based on lessons learned from common exam deficiencies.

After attending this session, you will be able to:

  • Discuss common findings in various regulatory areas and related supervisory deficiencies.
  • Identify controls, procedures and processes that member firms are incorporating into their respective supervisory systems to address these deficiencies.
  • Better understand other regulatory areas that warrant attention.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Lecturer Bios

William St. Louis

William St. Louis is the District Director of FINRA’s New York and Long Island offices and manages the sales practice examination and surveillance staff in those offices. Prior to assuming this role in June 2014, he was the Regional Enforcement Chief Counsel for FINRA’s North Region where he managed Enforcement staff in FINRA’s New Jersey, Boston, and Philadelphia offices. He joined the company in 1998 and spent several years in a variety of Enforcement roles in New York including service as a Deputy Regional Chief Counsel. Mr. St. Louis earned a B.A. from Baruch College and a law degree from New York University School of Law. Prior to law school he worked in the Compliance Department of a regional broker-dealer.

Andrew McElduff

Andrew McElduff is an Associate Director in FINRA’s New York Regional Office. His role includes managing a staff of approximately 30 staff including Examination Managers and examiners who are responsible for conducting the cycle, branch, and cause examinations of member firms. During his tenure with FINRA, Mr. McElduff has both conducted and managed examinations of small, mid, and large member firms. Mr. McElduff joined FINRA in September 2007 after working at a startup handling all day to day operations and managing a national sales team. Prior to that, Mr. McElduff graduated from the University of North Carolina at Chapel Hill.

Mark W. Cresap III

Mark W. Cresap III is the President and owner of Cresap, Inc., a position he has held since 1990. Cresap, Inc. is a fully disclosed broker-dealer and Pennsylvania-registered investment adviser with 40 registered representatives. Previously, from 1980 to 1989, Mr. Cresap was the President of PML Securities (aka 1717 Capital Management), a broker-dealer subsidiary of Provident Mutual Insurance. He was responsible for more than 1,800 registered representatives. Before that, Mr. Cresap worked as regional sales director for CIGNA Securities and as a registered representative for W. H. Newbolds & Sons. Mr. Cresap is a current member of the FINRA Board of Governors. He previously served as Chair of the FINRA Small Firm Advisory Board, Chair of a FINRA District Committee, FINRA Nominating Committee Chair, and as a member of the FINRA Membership Committee. He received his bachelor's degree from Williams College.



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