SEC and FINRA 2019 Examination Priorities
Broadcast Date: Thursday, Jan 31 at 2pm ET
The SEC and FINRA have recently released their examination priorities for 2019. These releases provide insight into regulatory priorities and serve as guidance for a firm in evaluating its compliance program. We will discuss topics covered in these releases, including:
- Protecting retail investors
- Fees and expenses
- Disclosure
- Conflicts of interest
- Suitability
- Protecting senior investors
- Trading and best execution
- Mutual fund selection
- Online distribution platforms
- Anti-money laundering
- Digital assets
- Technology and cybersecurity
Recent ComplianceCasts™
- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
Recent ComplianceCast™ Minutes
- New SEC proposed rule: Business Continuity and Transition plans
- SEC Outreach Panel Recap
- How to Improve Your Forensic Testing
ComplianceCasts™ are the property of Ascendant Compliance Management, Inc. (“Ascendant”) and/or may not be reproduced or redistributed in any form without the express written consent of Ascendant. ComplianceCasts™ are provided for educational purposes only, and are not intended to be and cannot be construed to be financial or legal advice. Ascendant is not a law firm and does not provide legal advice. Adherence to any recommendation does not imply compliance with any applicable law, regulation, or guidance. All facts and matters stated herein should be independently verified.