In January of this year, FINRA published its annual “Regulatory and Examination Priorities Letter” (http://www.finra.org/industry/2016-regulatory-and-examination-priorities-letter). When reading the letter, it is clear to see that one of the major priorities for FINRA going forward is a continued focus on member firms “culture” as it relates to compliance, ethics and conflicts of interest. In the cover letter written by then FINRA Chairman and CEO Richard Ketchum, he states: “Our emphasis on culture is also closely aligned with supervision, another area of focus for 2016”.
Since then, there has been much discussion within FINRA member firms and the broader Financial Services industry as to what establishing and maintaining this “culture of compliance” really means. This session features industry expert panelists Mimi LeGaye from MGL Consulting, Steven Murphy from Reg-C, Molly Rowan from Cordium, and former senior attorney for the SEC, Rick Nummi, and will be focused on that exact topic with the goal of providing attendees with a deeper understanding and firm definition based on the commentary generated with our expert panel and through interactive audience Q&A.
Attend this breakout session to:
- Gain a solid understanding of the key issues and components of a “culture of compliance” from top Financial Services industry experts
- Understand the “culture of compliance” differences for small, medium and larger firms, and why they matter
- Ask any questions of our expert panel that remain unanswered in your own organization about FINRA’s guidance on the “culture of compliance”
“Culture of Compliance” continues to be a hot topic at all industry events, so don’t miss out on this opportunity to hear all about it and talk with the leading experts!
Register for SmarshCONNECT