Webinar Title: FINRA And SEC Exam Priorities For 2018 - Seguridad Mania.com - España y América Latina

Every year, FINRA and the SEC tell broker-dealers exactly what they perceive as heightened risks to the market and investors. In this way, regulators send a clear message of what to expect during exams in the coming year. As a compliance officer, this is the roadmap that sets the tone for your efforts for 2018. Joanna Belbey, Compliance Subject Matter Expert, Proofpoint and Martin Tuip, Senior Product Marketing Manager will discuss some of the risks spotlighted for 2018: • Supervision and controls to protect investors • Technology Governance • Cybersecurity controls Learn how Proofpoint can help you and your firm meet these and other regulatory challenges in the year ahead. Live Q & A will follow. Time not convenient? Sign up anyway and we’ll send you the link to the recorded webinar plus valuable materials.