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2019 FINRA New York Region Member Forum Agenda

New York Forum | December 12, 2019 | New York, NY

8:00 a.m. – 12:30 p.m.


8:00 a.m. – 9:00 a.m.

Networking Breakfast

9:00 a.m. – 9:05 a.m.

Welcome and Opening Remarks

9:05 a.m. – 9:45 a.m.

Fireside Chat With FINRA President and CEO Robert Cook and Senior Vice President of Member Relations and Education Chip Jones

9:45 a.m. – 9:55 a.m.

Networking Break

9:55 a.m. – 10:40 a.m.

Transformation of FINRA’s Examination and Risk Monitoring Program

During this session, FINRA staff will discuss the new firm grouping structure, the status of changes and what firms can expect going forward.

10:40 a.m. – 10:50 a.m.

Networking Break

10:50 a.m. – 11:35 a.m.

Suspicious Activity Monitoring: What to Look for and How to Find it

As the first line of defense, compliance advisors may identify money laundering and other financial crimes. It is the responsibility of all firm associates to understand these risks. Join FINRA staff and industry professionals as they discuss new and concentrated areas of focus, such as terrorist financing, bribery and corruption. Attendees will also learn about new fraud trends and risks related to digital currencies.

11:35 a.m. – 11:50 a.m.

Networking Break and Boxed Lunch

11:50 a.m. – 12:30 p.m.

Regulation Best Interest Fireside Chat with FINRA Vice President and Associate General Counsel Jim Wrona and Senior Vice President of Member Relations and Education Chip Jones

12:30 p.m.

Forum Adjourns