08 Jun 2022, 10:00 am - 11:00 am | Americas
The NFA’s Regulatory Workshop at the start of June gave members a clearer view of the Association’s priorities as hybrid work becomes the new norm.
Like other regulators, NFA are adopting a hybrid approach to examinations, conducting risk-based on site exams in many cases. Key areas include supervision in a remote environment, cybersecurity, and ensuring that firms have continued to implement corrective action for any prior deficiencies, even in a remote world.
Our webinar looked in more detail at the NFA’s current focus and reflected on both the content of the Regulatory Workshop and the recent Townhall.
Kayan Lee-McKenzie, our NFA expert and ex-NFA supervisor, provided tips on getting ready for an onsite exam, looking at common deficiencies identified in recent examinations and talking through recent regulatory updates.
If you wish to receive the materials from the session, please fill out the form below and we will be in touch shortly.