Pandemic Regulatory Exams & Cybersecurity Protocols
Are you prepared? There has been a sharp uptick in the number of exams from the SEC, FINRA, and NFA recently during the pandemic. Cybersecurity and BCP topics have become major components during examinations. SEC, FINRA, and NFA have issued new guidance on cybersecurity since the pandemic began as well.
Join us and Agio on meeting these requirements and managing your examinations.