Know Your Risk - Control Your Risk

Understand Risk Based Regulatory Exams 

To Improve Your Firm's Exam Results

  • Learn how FINRA's Risk Assessments Impact Exam Frequency and Scope
  • Assess your Firm's Risk
  • Improve Regulatory Relationships
  • Identify Steps to Impact Risk Assessments
  • How to Make Your Compliance Program Audit Ready

 

 

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Moderator

Thank you for registering for our webinar.  It is our goal to create a great and informative webinar drawing on the expertise of our panelists.

Buddy Doyle
CEO, Oyster Consulting