May 18, 2021 - Event

ESG Compliance Considerations for Investment Advisers and Private Funds/Equity

Course Description: Environmental, social and corporate governance (ESG) investing is attracting attention from investors and regulators alike. Investment advisers that employ ESG strategies or products must be able to identify the legal, regulatory, and compliance considerations inherent in this investment strategy. This session will address fiduciary duties, ESG data and third party ESG vendors, advertising, […]
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May 18, 2021 - Event

Cybersecurity Program Resiliency Considerations

Course Description: Regulatory expectations associated with cybersecurity programs has continued to evolve as firms become more dependent on technological resources and relationships. It is no longer sufficient to just have a written cybersecurity plan. It must be resilient – but what does resiliency mean in the context of cybersecurity in a pandemic and post-pandemic work […]
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May 20, 2021 - Event

Critical Skills for High-Performance Compliance Professionals: CCO Liability: Are You a Target?

Course Description: Questions of CCO personal liability have been a subject of discussion for many years, as it has been the subject of high-profile SEC enforcement cases. Last year brought renewed attention to the issue as the New York City Bar issued a report on CCO liability in the financial sector and SEC Commissioner Hester […]
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May 19, 2021 - Event

Compliance with Remote Supervised Persons and Workplaces

Course Description: By now, most firms have been operating on a fully- or partially- remote basis. Some firms may never return to the types of offices they had prior to the pandemic. That said, firms have just begun to evaluate the ad hoc procedures put in place in the first half of 2020 and to […]
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May 18, 2021 - Event

Compliance Considerations in Responding to Diminished Capacity and Critically Ill (IA)

Course Description: Attend any gathering of investment advisers with aging clients, and you’ll hear the stories: older clients who have been defrauded, forced to rely on unqualified/unethical aides and/or relatives, isolated by the pandemic, or suffering from COVID-19 and other diseases. Concern for an aging client population has led to statements from the SEC, white […]
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May 18, 2021 - Event

Compliance Considerations in Responding to Diminished Capacity and Critically Ill (BD)

Course Description: Senior investors continue to have a spotlight in FINRA’s regulatory priorities. In recent years, laws and rules such as the Senior Safe Act and FINRA Rules 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information) have been enacted. Now, the COVID-19 pandemic has added to these concerns, as it takes a […]
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May 18, 2021 - Event

Compliance Considerations for Digital Assets and Cryptocurrency Marketplaces

Course Description: Initial coin offerings, digital asset exchanges, digital asset custody, digital asset ETFs, and Stablecoins are all growing developments drawing regulatory attention. What issues do digital assets raise in the context of regulation? What does the regulatory approach mean to compliance programs? This session will explain the many moving parts of the digital asset […]
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May 20, 2021 - Event

Communication for Compliance Professionals

Course Description: A (somewhat jaded) compliance professional once said that his non-compliance colleagues expect him to: Have a comprehensive knowledge of highly obscure information at his fingertips; Answer any question with 100% certainty at a moment’s notice; and Convincingly explain why they can’t do whatever they want. Effective compliance takes more than the ability to […]
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May 19, 2021 - Event

Business Continuity and Disaster Recovery: Returning to a New Normal

Course Description: 2020 is over. Whew! We all spent last year experimenting and improvising in order to keep our employees working and to meet our duties to our clients in the teeth of a pandemic, natural disasters, civil unrest, and more. You must now be able to demonstrate to a regulatory examiner – largely through […]
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May 19, 2021 - Event

Advertising for Broker Dealers

Course Description: As the SEC revises its investment adviser advertising rules, FINRA has provided Regulatory Notices and Notice to Members (NTMs) clarifying communication practices under Rule 2210. This session will review key areas and concepts when communicating with the public and discuss regulatory notices related to social media. This interactive session will also allow you […]
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