Implementing a Risk-Based Program and Identifying Red Flags

SKU: FIN4300

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About This Course

This CLE program provides guidance on implementing an effective risk-based branch office inspection program.

After attending this session, you will be able to:

  • Understand FINRA’s Member Regulation Department’s approach to executing risk-based cycle and branch exams.
  • Gain insight into how member firms prepare for, facilitate and learn from risk-based regulatory examinations along with effective practices from the FINRA perspective.
  • Understand how FINRA uses technology, tools and data to support and modernize the risk-based examination framework.

Lecturers for this Course

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