Common Examination Findings and Effective Compliance Practices (Small Firm Focus)

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Pennsylvania CLE
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Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Pennsylvania Accredited CLE Provider (Provider ID 6208). To view our full accreditation details please .

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About This Course

This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of medium and large firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies. Topics discussed: After attending this session, you will be able to: • Understand the FINRA examination process and how to create effective practices to facilitate the examination. • Discuss common exam deficiencies cited during examinations of medium and large firms. • Understand effective practices used by firms in responding to exam deficiencies and recommendations, included in examination reports. • Determine how to implement effective corrective action and strengthen controls in response to exam deficiencies. • Understand how to prepare for your next examination. • Discuss the exit interview and how to respond to a deficiency letter. • Review key preparation tips.
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