2d. BD – Annual Testing & Review of Business (Intermediate)

Attendees will learn about current trends and practices for developing, conducting, and maintaining effective and robust annual testing programs in accordance with FINRA 3120.  This session will provide best practices as it relates to the design and implementation of a robust annual review.  This session will also address the risks to consider in identifying and selecting testing topics, handling deficiencies, and describing the results in a final report.

Learning Objectives:

  • Implement and maintain a testing program that reflects your firm’s size, business model, and structure and is reflective of regulatory developments and other hot topics (e.g. suitability, senior investors, etc.)
  • Communicate testing results in an effective manner and handle difficult conversations
  • Understand the benefits of collaborating with business partners to develop remediation plans
  • Learn how to draft an understandable report for management without unnecessarily creating regulatory liability


Sponsored by:

Intermediate                        Program Level: Date: October 19, 2020 Time: 11:45 am - 1:00 pm Dana Gloor Jennifer Selliers

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