Live Webinar: Know Your Risk, Control Your Risk

Understand Risk-Based Regulatory Exams

To Improve Your Firm’s Exam Results

Risk webinar

Join our complimentary webinar Thursday, February 25th
to understand FINRA’s risk based assessments and how this can improve your firm’s regulatory exams. 

 

Our panel of former regulators and industry experts will help you:

Assess Your Firm’s Risk
Improve Regulatory Relationships
Identify Steps to Impact Risk Assessments
Learn How to Make Your Compliance Program Audit Ready
Learn How FINRA’s Risk Assessments Impact Exam Frequency and Scope