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Critical Skills for High-Performance Compliance Professionals: Business Continuity and Disaster Recovery; Lessons Learned in 2020

October 29, 2020
12:30 PM - 2:30 PM CDT
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Course Description:

A pandemic. Domestic unrest. Whipsaw markets. And who knows what else we’ll experience before the year is out. Even those firms that had prided themselves on their business continuity and disaster recovery plans have been shaken to their cores. We’ve all had to experiment and improvise just to keep our employees working and to meet our duties to our clients.

So what now?

This is the time to take stock of what worked, what didn’t work, and what is still being tested. You must be able to demonstrate to a regulatory examiner that you have thoroughly documented all the changes that your firm has had to make this year, that you have evaluated the efficacy of those changes, and that you have updated your risk assessment, policies and procedures, and testing programs to reflect your new reality.

This program will bring together industry experts and your peers to provide a practical, real-world assessment of what has succeeded, what has failed, and what the regulators expect to see when they virtually visit your firm.

Learning Objectives

After attending this session, attendees should be able to:

  • Analyze how recent events have changed your risk analysis.
  • Evaluate your Business Continuity and Disaster Recovery policies and procedures in light of what your peers have done (and continue to do).
  • Verify that teleworkers are continuing to meet their responsibilities to your clients and your firm.

For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities.

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Rule 204-2, to become familiar with the structure and terms, and sample SEC examination request lists.

Advance Preparation: None

NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2
Recommended CFP® Credit: 2