The following topics will be covered during this webcast:
T+1 Readiness:
- Compliance Update
- Considerations
- ID Confirm Reports and Enhancements
- Trade Reports
- Foreign Exchange Impact
- Margin Impact
SEC and FINRA Exam Priorities for 2024:
- Overview
- AML Observations from the SEC and FINRA
- Trade Surveillance
- FINRA CAT CAIS
- Fraud