Every year, FINRA and the SEC tell broker-dealers exactly what they perceive as heightened risks to the market and investors. In this way, regulators send a clear message of what to expect during exams in the coming year. As a compliance officer, this is the roadmap that sets the tone for your efforts for 2017.
Joanna Belbey, Compliance Subject Matter Expert, Proofpoint, Dan Nadir, VP, Product Management, Proofpoint and Martin Tuip, Senior Product Marketing Manager will discuss some of the risks spotlighted for 2017:
• Supervision and controls to protect investors
• Suitability, particularly for seniors
• Social media and electronic communications retention and supervision
• Cybersecurity controls
Learn how Proofpoint can help you and your firm meet these and other regulatory challenges in the year ahead. Live Q & A will follow.
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