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Common Examination Findings and Compliance Effective Practices for Institutional Firms

SKU: FIN2600
Total Credits
1 - 1.2
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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

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.

Gil Mogavero

Gil Mogavero is Managing Director and Chief Compliance Officer of JMP Securities. In addition to the Compliance program at JMP, he oversees the broker-dealer operations. Prior to joining JMP in 2000, Mr. Mogavero was Chief Financial Officer and Chief Administrative Officer at Mitchum, Jones & Templeton, a San Francisco-based brokerage firm, with oversight of compliance and operations. He previously spent a year at Robertson Stephens as vice president of operations. From 1987 through 1996, Mr. Mogavero served as head of compliance and operations at Volpe, Welty & Company, where he established the firm’s brokerage operations, compliance program and communications infrastructure. Earlier in his career, which began in 1973, Mr. Mogavero held compliance and operations positions at Donaldson, Lufkin & Jenrette and Oppenheimer & Co., among other financial institutions. He served on the Boards of San Francisco-based Industry Associations (Securities Operations Association, Association of Western Securities Managers) and various NASD/FINRA Committees. Currently, he serves on the FINRA Small Firm Advisory Committee and the Schwab Compliance Technologies Advisory Board (formerly Compliance 11).

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