FINRA 2022 examination priorities – A practical guide

This years’ unveiling of FINRA’s Examination and Risk Monitoring Programs has given firms a clearer outlook of the regulator’s focus when conducting examinations.

Weighing in at 60 pages, the report affirmed existing areas such as Cybersecurity Anti Money Laundering and Outside Business Activities, while new priorities emerged, including Funding Portals, Crowdfunding offerings and Trusted Contact Persons.

During this session, our FINRA experts drew from their own experiences supporting clients to guide you through the regulator’s major priorities. For each of the topics in the report, we looked at regulatory obligations, common deficiencies and best practice. We also provided practical guidance on where firms should focus efforts in preparation for an examination.