Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)

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About This Course

This CLE program provides guidance on common deficiencies noted during FINRA examinations of medium and large firms.. Industry practitioners discuss taking proactive compliance measures and corrective action in response to examination deficiencies and recommendations. Senior FINRA staff discuss the exam process from their perspective and provide examples of best practices.

After attending this session, you will be able to:

  • Understand the FINRA examination process and effective practices to facilitate the examination.
  • Discuss common exam deficiencies cited during examinations of medium and large firms.
  • Understand different approaches used by firms in responding to exam deficiencies and recommendations.
  • Determine how to implement effective corrective action and strengthen controls in response to exam deficiencies.
  • Learn proactive techniques for strengthening your firm’s compliance program.
  • Understand how to prepare for your next examination and review key preparation tips

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