FINRA And SEC Exam Priorities For 2017

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Presented by

Martin Tuip, Sr Product Manager | Joanna Belbey, Compliance Subject Matter Expert | Dan Nadir, VP, Product Management

About this talk

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: • Recordkeeping • 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. Time not convenient? Sign up anyway and we’ll send you the link to the recorded webinar plus valuable materials.
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Proofpoint, Inc. is a leading cybersecurity and compliance company that protects organizations’ greatest assets and biggest risks: their people. With an integrated suite of cloud-based solutions, Proofpoint helps companies around the world stop targeted threats, safeguard their data, and make their users more resilient against cyber attacks. Leading organizations of all sizes, including 85 percent of the Fortune 100, rely on Proofpoint for people-centric security and compliance solutions that mitigate their most critical risks across email, the cloud, social media, and the web.