Common Examination Findings and Effective Compliance Practices

SKU: FIN3400

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About This Course

This CLE program will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide 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.

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