6h. ALL - Very Small Firm Issues Talk Group (CLOSED)
This interactive group will discuss issues such as: separation of oversight, testing, and other functional duties; wearing multiple hats; identifying and addressing conflicts of interest; cybersecurity compliance; ability to handle the workload vs. regulatory priorities and implementation of new regulations; product suitability; and exam preparedness, as they relate to Investment Adviser compliance professionals of very small firms. Attendees are encouraged to share their experiences and learnings within this talk group.
This session is not eligible for continuing education credits. Seating is limited.
This session is closed to both regulators and members of the press.
Featured
