5b. ALL – The Pandemic and Beyond: Overcoming Compliance Challenges in 2021


Comprehensive risk frameworks enable compliance departments to manage challenges successfully. The pandemic brought unprecedented challenges and fundamentally changed the working world. This session will focus on how recent evolutions in the way we work and shifting investor preferences will influence the compliance challenges we confront in 2021 and beyond.
Learning Objectives
• Review practical methods for keeping policies and procedures current and reflective of our new virtual reality
• Explore how a nimble compliance program can more effectively address challenges
• Examine how compliance departments have met, managed, and overcome the myriad of challenges facing their firms
• Discuss the compliance concerns surrounding the investment product needs of new generations

Sponsored by

Intermediate                        Program Level: Panel Date: November 9, 2021 Time: 10:00 am - 11:15 am Edward (Ed) Wegener Daniel (Dan) Harley Dahlia Black

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