Financial Services Blog

Accenture is pleased to be participating in the 2022 SEC and FINRA Examination and Enforcement Priorities webinar on Monday 28 March from 12:30 – 1:30pm EDT.  The Financial Industry Regulatory Authority recently issued its 2022 Examination Priorities, and the U.S. Securities and Exchange Commission is expected to do so soon.  Hear directly from SEC and FINRA leaders about these priorities, and from legal and compliance practitioners on what they mean for the financial services and other industries, including among other “hot topics”:

  • Compliance with proposed disclosure rules and regulatory requirements, including regarding cybersecurity and ESG;
  • Enhancing enterprise-wide capabilities to identify, prevent, and report cyberattacks and data privacy breaches;
  • Supervision of communications with customers, including via mobile applications and digital platforms; and
  • The processes, procedures, and controls to comply with Regulation Best Interest (Reg BI).

The panel will be moderated by Aaron Mendelsohn, Principal Director at Accenture, and will include:

  • Richard R. Best, Director of the New York Regional Office at the SEC;
  • Christopher Kelly, Senior VP and Deputy Head of Enforcement at FINRA;
  • Charu Chandrasekhar, Counsel at Debevoise & Plimpton; and
  • Venetia Woo, Principal Director at Accenture.

Thanks to the Fordham Law School Program on Corporate Ethics and Compliance and the Fordham Gabelli School of Business Center for Professional Accounting Practices.  This webinar is free and open to the public.  Please register using the following link: 2022 SEC and FINRA Examination and Enforcement Priorities.

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