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Compliance Connections Webinar: 2021 Report FINRA’s Examination and Risk Monitoring Program


On February 1, 2021, FINRA released their annual report which details the core findings from their 2020 examinations and risk assessments, as well as emerging issues and focus areas for 2021. The new format for this year’s report combines two previously published reports into one insightful document.

Foreside’s panel of experts discussed:

  • FINRA’s principal areas of focus, emerging challenges, and examination trends for 2021
  • How to incorporate key areas into your compliance program through risk assessments
  • Best practices and considerations for addressing emerging issues

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