Chicago partner Jim Lundy moderated a panel for the 2017 National Society of Compliance Professionals (NSCP) Chicago Spring Conference on May 23, 2017. Jim was joined by the Regional Director for the SEC’s Chicago Office, FINRA’s Midwest Regional Director, and the Director of the Illinois Securities Department. The panel, titled “SEC and FINRA Examination Priorities for 2017,” offered insights including:

  • Analyzing the regulatory focus areas applicable to your firm’s compliance program.
  • Assessing strengths and weaknesses of your compliance program based on current regulatory enforcement trends.
  • Applying regulatory insights and best practices to enhance your compliance program.

The NSCP Spring Chicago Conference is a one-day event offering a variety of industry hot topics for compliance professionals to increase their knowledge and understanding. Sessions were led by experienced industry professionals in the areas of:

  • Conflicts of interest and ethics;
  • Suitability;
  • Culture of compliance;
  • AML and OFAC compliance;
  • Business continuity for transition planning and cybersecurity best practices;
  • Due diligence of third parties;
  • DOL Fiduciary Rule implementation; and
  • Compliance benchmarking.

For additional information on this event, please visit the conference website.

The NSCP is a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry. The organization aims to provide its members with an unequaled network of peers, professional education, regulatory interaction and professional standards. NSCP facilitates the interchange of compliance information for and provides professional resources to U.S. and Canadian financial services compliance practitioners.

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