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8e. ALL – When Reporting Compliance Issues Up the Chain Doesn’t Work

An important function for compliance officers is to provide advice to senior management on regulatory and compliance matters. This session will address a range of options when the compliance officer is not completely satisfied with the decisions of senior management. Learning Objectives: • Discuss the range of options and best methods for escalating compliance matters […]

8f. ALL – LAB – Breaking the Stress Cycle For More Effectiveness Lab

Stress and anxiety can limit the effectiveness of compliance professionals and can lead to burnout. Reclaim your sanity and energy by learning techniques to decrease stress and anxiety while increasing creativity and focus on problem-solving. Learning Objectives: • Learn how to interpret and address risks to decrease anxiety • Understand the cause and impact of […]

5f. ALL – LAB – Delving into Investment Due Diligence

This lab will explore the importance of having adequate, current, and relevant due diligence, oversight and governance programs designed to help determine the potential risks of investments being recommended to clients. Attendees learn through interactive small and large group discussions on best practices, regulatory expectations, and enforcement cases. Learning Objectives: • Discuss the importance of […]

6a. ALL – The Business of Workplace Retirement Plans

Governmental and private sector retirement plans come in many different types with a myriad of potential partners, from record keepers, to third party administrators to financial advisors, to 3(16) providers, and more. In this session, the panelists will discuss the types of retirement plans, how advisors are involved, and the compliance requirements involved when offering […]

4c. BD/IA – Protecting Our Most Vulnerable Clients

One of the primary missions of the regulators is the protection of investors, of which vulnerable clients (seniors) are a rapidly growing segment. This session will address the particular concerns for vulnerable clients and offer strategies for developing safeguards from a regulatory and practical standpoint. Learning Objectives: • Discuss how firms address and train for […]

2b. ALL – Fundamentals of Anti-Money Laundering

Enhance your understanding of the basics of an effective AML program. Gain confidence as we explore the essentials of detecting and reporting money laundering, including effective controls and prevention. Our panelists will delve into key considerations in creating and managing a risk-based program and discuss the emerging importance of cybersecurity as a consideration in an […]

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