Archives

7g. Diversity, Equity & Inclusion Talk Group

As a follow-up session to the Diversity, Equity and Inclusion panel, a facilitated talk group is available for attendees to discuss diversity and inclusion topics covered during the panel session. Attendees are encouraged to share their experiences and learnings within this talk group. This session is not eligible for continuing education credits.

8g. IC/PF – Dual Registrants Talk Group

This interactive group discussion will focus on issues that are relevant to IC/PF dual registrants. Attendees are encouraged to share their experiences and learnings within this talk group. This session is not eligible for continuing education credits.

5g. BD – Institutional Firms Talk Group

This interactive group discussion will focus on issues such as: identifying conflicts of interest; gifts & entertainment; regulatory priorities; the applicability of suitability standards; remote supervision; and the marketing to institutional accounts, as they relate to Broker-Dealer compliance professionals of institutional firms. Attendees are encouraged to share their experiences and learnings within this talk group. […]

6g. Branch Inspection Talk Group

We’ve tested the limits of remote inspections. What did we learn from that experience that we can apply in the new normal and how does it all relate to Work-From-Home employees? Attendees are encouraged to share their experiences and learnings within this talk group. This session is not eligible for continuing education credits.

4e. IA – Asia-Pacific Global Advisors Talk Group

This interactive group discussion will focus on issues that are specific to IA global advisers that do busines in Asia-Pacific regions. Attendees are encouraged to share their experiences and learnings within this talk group. This session is not eligible for continuing education credits.

4g. MA – Best Practices for Municipal Advisors Talk Group

This interactive group discussion will focus on MA exam priorities and will allow attendees to share best practice solutions to improve efficiency and implement effective internal procedures that comply with MA rules and regulations. Other discussion topics will include lessons learned from the MA rules, including registration; various disclosure requirements, conflicts of interest, recordkeeping, advertising […]

4h. BD – Retail Firms Talk Group

This interactive group discussion will focus on issues such as identifying conflicts of interest, gifts & entertainment, Reg BI compliance, regulatory priorities, the impact of social media and remote supervision as they relate to Broker-Dealer compliance professionals of retail firms. Attendees are encouraged to share their experiences and learnings within this talk group. This session […]

2g. Canadian Compliance Topics Talk Group

This interactive group discussion will focus on Canadian regulations and practical application for your firm. This talk group is intended for firms located within Canada, as well as firms in the U.S. doing business in Canada. Attendees are encouraged to share their experiences and learnings within this talk group. This session is not eligible for […]

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