Registrant Outreach: Completing the 2020 Risk Assessment Questionnaire

This webinar will assist registrants in completing the 2020 Risk Assessment Questionnaire (RAQ). We will highlight the key changes to the RAQ, including, for the first time, the pre-population of certain information previously provided by firms. We will answer frequently asked questions and walk participants through areas of the RAQ which may have been challenging for registrants in the past.

The RAQ is a useful tool in identifying high risk areas of a registrant’s business and assisting CRR staff in executing their risk-based approach to compliance field reviews.