 | | | | Important considerations for your firm's compliance programs | Each year, financial firms eagerly await the release of this report to ensure they align with FINRA's Annual Regulatory Oversight Report findings. Take the next step by joining our webinar, where we'll discuss noteworthy topics from this year's report. | 2024 brought significant shifts in regulatory compliance enforcement as adoption of new technologies continues to increase. These shifts are anticipated to continue into 2025, influenced by a new administration and evolving regulatory stance.
Tune in on January 29, 2025, at 11:00 a.m. PT / 2:00 p.m. ET to ensure your compliance programs align with FINRA's priorities! | Our panel will discuss how FINRA plans to address:
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The adoption of generative AI for automation and communication -
Use of communications tools and reasonable steps to identify off-channel activities -
Digital engagement practices, including the use of social media and mobile applications | | | | | Transform oversight into foresight. | | | |
