FINRA Regulatory Update: New Rules & Prior Initiatives

Presented by

Donald McElligott, VP Compliance, Global Relay

About this talk

According to a study by global law firm Eversheds Sutherland, FINRA fines have fallen for three years in a row. While that means firms might have some spare change left in their annual enforcement fine budgets, for smaller companies it’s often not the fines that are the problem, but the subsequent damage to their reputation. With market volatility increasing amid the coronavirus pandemic, firms need to stay on their toes and ensure their supervisory programs are robust enough to detect anything that could get them in trouble with regulators later. Watch this webinar to learn: • The latest trends in FINRA enforcement actions & what could drive post-pandemic investigations • The biggest enforcement areas of 2019 & top tips for ensuring your firm stays compliant • The key regulatory issues that could lead to the largest ‘supersized’ fines • FINRA’s top enforcement actions so far this year, compared with the same period in 2019 • How COVID-19 is impacting FINRA exams and investigations • The themes and trends shaping the enforcement landscape in 2020 – from COVID-19 & scams, through to insider trading and product suitability

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Global Relay (www.globalrelay.com) is a leading provider of compliant electronic communications archiving, messaging, supervision, information governance, and eDiscovery. Our 20,000+ customers in 90 countries include highly regulated organizations and other corporate firms, including financial services, insurance, technology, energy (oil and gas), legal, government and healthcare. Global Relay Archive preserves more than 60 data types within a unified, highly-secure and scalable cloud repository. Data types include: email, collaboration platforms (e.g. Microsoft Teams, Slack, Zoom), Instant Messaging, Bloomberg®, Refinitiv, social media, text messaging, voice, and trade data. Global Relay Message enables organizations to collaborate both internally and externally, confident that compliance, privacy, and security requirements are being met. Contact us at connect@globalrelay.net