1b. BD – Creating Effective Oversight Structures for Broker-Dealers (Intermediate)

This session will address the roles of compliance and supervision, and the potential pitfalls of having compliance perform supervisory functions. The discussion will focus on factors specific to the business model and personnel that may favor a centralized or decentralized structure. Effective supervisory controls, monitoring and technology needs will also be discussed.

Learning Objectives:

  • Explore the roles and responsibilities of compliance oversight and performing supervisory functions, including avoiding CCO liability
  • Compare and contrast centralized versus decentralized supervisory structures and what factors favor one approach over the other
  • Discuss how to design and implement effective supervisory controls tailored to the business model and considerations for monitoring of the supervisory system
  • Hear how to integrate and effectively utilize technological solutions in the supervisory structure


Sponsored by:

Intermediate                        Program Level: Date: October 19, 2020 Time: 10:00 am - 11:15 am Kenneth Cherrier Paul Murdock

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