Finding A Way.

FINRA Annual Conference to Address Compliance Concerns

FINRA will hold its annual conference May 20-22, 2013 in Washington, D.C. The meeting gives the securities industry the opportunity to discuss regulatory developments, hear FINRA priorities and exchange practical ideas on compliance issues.

COOs and other compliance professionals may be particularly interested in the following session topics:

  • AML: Monitoring for Suspicious Activity
  • Branch Office Inspections
  • Business Continuity Planning
  • Cyber Security
  • Liquidity Risk
  • Financial and Operational Considerations
  • Fraud Prevention
  • Reporting Requirements
  • Suitability

Detailed conference sessions, a list of confirmed speakers, networking opportunities and participating exhibitors are available in FINRA’s conference brochure.

For those who cannot attend the conference in person, the event will be available via live broadcast streamed over the Internet. Online viewers receive access to all conference materials.