Back to Events

Gaining Insight into FINRA Member Supervision Priorities

Overview

On April 22nd, FINRA discussed their new organizational model for monitoring and examining broker-dealers, with a focus on financial and operational examination priorities.

Watch On Demand

This webinar is available to view on demand through June 22, 2021.

If you registered for this webinar before 9:30 a.m. ET April 22, 2021, click here to watch now.

New registrant? Please register below; you will receive access instructions within three business days.

Watch this webinar on demand to learn about:

  • the changes to, and effectiveness of, FINRA’s model for Examinations and Risk Monitoring;
  • remote examinations in the world of COVID-19; and
  • 2021 financial management examination priorities, including: Net Capital, Liquidity Management, Credit Risk Management, and Segregation of Assets and Customer Protection.

Featured Speakers

Ornella BergeronOrnella Bergeron
Senior Vice President, Member Supervision, FINRA
John MartinoJohn Martino
Senior Director, Examinations, FINRA
Grace VogelGrace Vogel
Managing Director, Financial Services Advisory Practice, PwC
SIFMA Webinar Series

Gaining Insight into FINRA Member Supervision Priorities

Date

June 22, 2021

Location

On Demand

Hosted by

SIFMA Financial Management Society

Registration Rates – Until 6/22/21

  • Member Complimentary
  • Regulator Complimentary
  • Non-Member $99
Register Now

Overview

On April 22nd, FINRA discussed their new organizational model for monitoring and examining broker-dealers, with a focus on financial and operational examination priorities.

Watch On Demand

This webinar is available to view on demand through June 22, 2021.

If you registered for this webinar before 9:30 a.m. ET April 22, 2021, click here to watch now.

New registrant? Please register below; you will receive access instructions within three business days.

Watch this webinar on demand to learn about:

  • the changes to, and effectiveness of, FINRA’s model for Examinations and Risk Monitoring;
  • remote examinations in the world of COVID-19; and
  • 2021 financial management examination priorities, including: Net Capital, Liquidity Management, Credit Risk Management, and Segregation of Assets and Customer Protection.

Featured Speakers

Ornella BergeronOrnella Bergeron
Senior Vice President, Member Supervision, FINRA
John MartinoJohn Martino
Senior Director, Examinations, FINRA
Grace VogelGrace Vogel
Managing Director, Financial Services Advisory Practice, PwC

Register

Member
Registration Rates Complimentary
Regulator
Registration Rates Complimentary
Non-Member
Registration Rates $99
Register
Member Regulator Non-Member
Registration Rates Complimentary Complimentary $99
Register Now

Registration for this on demand replay closes on June 22, 2021. Access instructions will be sent within 24 hours of the start of the webinar.

Questions? Contact Meghan Brook.

Venue

On Demand


On Demand , Watch Replay

Picture of venue

Media

Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official press policy.

Webinar Tips and FAQs

For an optimal webinar experience, we recommend attendees view this webinar using a Chrome browser on a local machine. Avoid using a VPN or Remote Network (ie: Citrix).

You must have Javascript and Cookies enabled to access this webinar. For detailed information, including minimum system requirements and FAQs, view more Webinar Tips.

 

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Cancellations and Substitutions
Cancellation within 48 hours of the webinar will be subject to a $25 cancellation fee. No substitutions or transfers will be accepted.

Upcoming Events