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Common Examination Findings and Effective Compliance Practices

SKU: FIN3400
Total Credits
1 - 1.2
Price$50
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Description

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.

Lecturer Bios

Elizabeth Page

Elizabeth Page is the Vice President and Director of FINRA’s Boston District office. In this role, she is responsible for the regulatory programs that oversee the FINRA firms and registered representatives within New England and portions of Canada and Europe. Prior to her position in Boston, Ms. Page was the Deputy Director in the FINRA’s Chicago District office and has served in a variety of staff and management roles including managing and conducting onsite examinations of the main offices and branches of FINRA firms, investigations of customer complaints and terminations for cause and applications for membership. Ms. Page has a Bachelor degree in Finance and a Master of Business Administration degree from the University of Denver.

Lance Burkett

Lance Burkett, District Director, FINRA Denver Office, began his securities industry career in 1993 as a Securities Fraud Investigator for the State of Arizona Securities Division, working exclusively on fraud cases involving broker-dealers. Later, at a FINRA member firm, he was responsible for supervising Producing Branch Managers and Field Representatives as the Field Compliance Director. Throughout his tenure with FINRA, Mr. Burkett has held positions ranging from Compliance Examiner, responsible for examining FINRA member firms for general compliance, to District Director, responsible for the management and oversight of the regulatory programs within the Denver District office. In addition to his regulatory responsibilities, Mr. Burkett earned his Certified Regulatory and Compliance Professional™ designation through the FINRA Institute at Wharton and has developed content and presented at several FINRA Institute class offerings.

Stephen Kohn

Stephen Kohn has been employed in the financial services industry since 1984, to which he has devoted most of his working life. Founded in 1996, Mr. Kohn owns and operates a FINRA small member firm, Stephen A. Kohn & Associates, Ltd. (SAKL) located in Lakewood, Colorado. SAKL is a small, full service, independent broker/dealer, catering to the needs of 28 independent representatives and their clients, with office locations in seven states, registered in 35. Mr. Kohn has been elected, by the Small Firm Membership, to the FINRA Board of Governors, to represent their interests and issues at the highest levels. Mr. Kohn has been twice elected to the National Adjudicatory Council (NAC) by FINRA’s small firms, first in 2009 and again in 2014. His second term on the NAC, as one of two small firm members, runs until the end of 2017. The NAC is FINRA’s appellate division, hearing appeals to enforcement decisions and other issues. Mr. Kohn serves on the NAC’s Sanction Guideline Review and Revision Sub-Committee. This sub-committee has been convened to review the guidelines, ensure that sanctions in appeals that are upheld by the NAC are fair and appropriate and to recommend revisions to the Sanction Guidelines as needed. He is also an industry arbitrator and currently serves on the District 3 Committee. In his more than three decades in the Securities Industry, Mr. Kohn has been employed at a plethora of large and small firms as well as his own. Of all the firms at which he has been employed, only two are still in business and one of them is Stephen A. Kohn & Associates, Ltd. Mr. Kohn holds the following securities licenses: Series, 7, 24, 53, 63, 72, 73, 79 and 99. He graduated from C.W. Post College of Long Island University in 1964 with a BA degree. He has also served in the U.S. Coast Guard.



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