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Before The Show #36 - FINRA’s Crackdown On High Risk Brokers
* Use coupon code PODCAST25 for 25% off this webcast *
Webcast URL: https://www.theknowledgegroup.org/webcasts/finras-crackdown-on-high-risk-brokers/
In April 2018, the Financial Industry Regulatory Authority (FINRA) issued a guidance on when intensified broker-dealer oversight of associated persons, may be necessary. The guidance proposes rule amendments that would heighten restrictions on member companies employing brokers with history of past misconduct. Reminding broker-dealers of their supervisory responsibilities, Regulatory Notice 18-15 requires FINRA member firms to implement supervisory procedures for associated persons.
Our panel of key thought leaders and practitioners organized by The Knowledge Group will offer a discussion of the fundamentals as well as recent updates regarding the latest and significant issues surrounding FINRA’s regulation of high-risk brokers. This Webcast aims to help you to avoid common pitfalls and risk issues by adopting best compliance practices in light of the guidance.
For anymore information please click on the webcast url at the top of this description.
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By The Knowledge Group
5
33 ratings
* Use coupon code PODCAST25 for 25% off this webcast *
Webcast URL: https://www.theknowledgegroup.org/webcasts/finras-crackdown-on-high-risk-brokers/
In April 2018, the Financial Industry Regulatory Authority (FINRA) issued a guidance on when intensified broker-dealer oversight of associated persons, may be necessary. The guidance proposes rule amendments that would heighten restrictions on member companies employing brokers with history of past misconduct. Reminding broker-dealers of their supervisory responsibilities, Regulatory Notice 18-15 requires FINRA member firms to implement supervisory procedures for associated persons.
Our panel of key thought leaders and practitioners organized by The Knowledge Group will offer a discussion of the fundamentals as well as recent updates regarding the latest and significant issues surrounding FINRA’s regulation of high-risk brokers. This Webcast aims to help you to avoid common pitfalls and risk issues by adopting best compliance practices in light of the guidance.
For anymore information please click on the webcast url at the top of this description.