2020 South Region Member Forum Agenda
The FINRA South Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the South Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides opportunities to meet one-on-one with FINRA Risk Monitoring Analysts, and Surveillance Directors to discuss firm-specific questions.
Thursday, January 23
8:00 a.m. – 3:00 p.m.
8:00 a.m. – 9:00 a.m.
9:00 a.m. – 9:05 a.m.
Welcome and Opening Remarks
9:05 a.m. – 9:45 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.
9:45 a.m. – 10:00 a.m.
10:00 a.m. – 11:00 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.
11:00 a.m. – 11:15 a.m.
11:15 a.m. – 12:15 p.m.
FINRA Examination Findings and Priorities
Panelists discuss the examination findings and priorities letters. FINRA staff will review effective practices and considerations worth highlighting due to their potential impact on investors and markets or the frequency with which they occur.
12:15 p.m. – 1:30 p.m.
1:30 p.m. – 3:00 p.m.
Regulation Best Interest and Form CRS: What You Need to Know
Join panelists as they discuss Regulation Best Interest and Form CRS, its impact on the industry and effective practices to help broker-dealers manage their obligations.
South Region Member Forum Adjourns
This agenda is subject to change.