9a. ALL – Managing CCO Liability In Uncertain Times

CCOs are charged with keeping their programs going through an ever-increasing maze of regulation, and challenging market conditions. To complicate the already complicated, CCOs must also be aware that they may be found personally liable for the failings of their compliance programs. Panelists will discuss the current environment surrounding potential CCO liability and help attendees […]

9b. ALL – Performing Robust Testing of Policies & Procedures

Learn current trends and practices in testing compliance policies and procedures. Topics will include various testing techniques, sampling methodologies, report construction, issue remediation, and tracking. Learning Objectives: • Develop tailored risk assessments for firms based on size and business model • Determine the methods of developing risk-based testing programs • Understand how to execute compliance […]

9c. BD/IA – Ethics of Managing Personnel Conflicts of Interest – Challenges for Dual Registrants

This panel will take a fresh look at personnel-related conflicts of interests, and specifically those concerning personal trading, private securities transactions, and outside business activities. Panelists will propose suggestions based on experience acquired over the years through case studies, SEC notices, and exam results in addition to reviewing considerations for dual registrants and the differing […]

9d. IA/PF – Performance Advertising Rules: Now and Into the Future

This session will address the use of performance advertising by investment advisers and private funds. While performance disclosure is not a requirement, the panel will discuss how performance data must, if used, be presented under the new IA marketing rule. Learning Objectives: • Analyze the effect of the new rule on performance advertisements, including the […]

10b. ALL – Insider Trading Trends and Evolving Compliance Best Practices

Attendees will learn from industry experts and regulators about ongoing insider trading enforcement actions, trends and best practices for compliance professionals. Learn how to build and grow a better insider trading program. Learning Objectives: • Enhance existing frameworks of supervisory controls and surveillance to help identify and prevent insider trading • Discuss recent enforcement cases […]

10c. ALL – ERISA: Recent Developments and Hot Topics

The Department of Labor issued a flood of regulations and guidance in the last half of 2020. With a new Administration in the White House, we can expect more changes. This session will provide an update on recent developments, key areas of DOL enforcement, and the latest in ERISA litigation. Learning Objectives: • Discuss the […]

10d. IA – Evolving Custody Responsibilities

This session will focus on the latest interpretations of the custody rule and how these apply to various situations within firms and across major custodians. The speakers will discuss the applicability and strategies for analysis and disclosure obligations, what they have learned, and what they would do differently. The session will include case studies or […]

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.

7b. BD – Effective Oversight Structures for Broker-Dealers

This session will address the roles of compliance and supervision, and the potential pitfalls of having compliance perform supervisory functions. Discussions will be focused on the importance of the role of the CCO along with implementing effective supervisory controls, monitoring and technology needs. Learning Objectives: • Understand and avoid CCO liability by creating a strong […]

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