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 oversight and supervisory structure
• Empower the role of the CCO to help ensure that others are aware of their responsibilities under the compliance policies
• Discuss the importance of periodically monitoring procedures to ensure supervisory controls are reasonably designed and tailored to the firm’s business activities and model
• Understand how technology can assist in building a robust supervisory structure

Sponsored by


Intermediate                        Program Level: Panel Date: November 9, 2021 Time: 2:00 pm - 3:15 pm Jennifer Divalerio Scott Noah Kelly Zigaitis

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