Common Examination Findings and Compliance Effective Practices for Institutional Firms

SKU: FIN2600

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About This Course

This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies.

After attending this session, you will be able to:

  • Understand the FINRA examination process and how to create effective practices to facilitate the examination.
  • Discuss common exam deficiencies cited during examinations of institutional firms.
  • Understand effective practices used by firms in responding to exam deficiencies and recommendations, included in examination reports.
  • Determine how to implement effective corrective action and strengthen controls in response to exam deficiencies.
  • Understand how to prepare for your next examination.
  • Review key preparation tips

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