Event description

SESSION 1: Compliance Considerations for Operating in a Remote World

The COVID-19 pandemic accelerated the trend of decentralization in our industry.  Most financial services firms were forced to operate remotely, and many will never fully return to pre-pandemic work conditions.  This session will examine some of the risks attendant to operating in a more remote environment and offer guidance on compliance challenges associated with a remote workforce.

Learning Objectives:

  • Examine the operational, commercial, and other risks of a remote environment
  • Assess guidance from the SEC and other regulators
  • Analyze the impact of remote work on the firm’s compliance practices
  • Evaluate the pros and cons with some of the technology and communication tools

 

SESSION 2:  Navigating the Various Standards of Care/Conduct

Reg BI dramatically changed a landscape once dominated by a suitability standard of care and fiduciary standard of conduct. Various standards have since arisen (e.g. DOL, NAIC, state securities, etc.), each posing overlapping regulatory and compliance challenges.  This panel will discuss how they have implemented these different standards of care/conduct with their firm in a succinct but still compliant manner.  They will also offer best practices to consider as regulators evaluate future rulemaking.

Learning Objectives:

  • Learn how firms have implemented the different standards of care/conduct
  • Review recent enforcement cases regarding the different standards of care
  • Demonstrate different opportunities to leverage existing disclosures and business processes to reduce repetitiveness
  • Discuss how to train and communicate on the different standards of conduct/care in an effective and easy to understand manner

 

Continuing Education Credits

NSCP will provide a Continuing Education (“CE”) Certificate of Attendance for those attendees who participate in live virtual seminars and correctly answer the post-session CE quiz questions in the required response time.  CPE credits cannot be awarded for any of NSCP’s virtual seminars.

Status Price for 2 sessions
NSCP Members $100
Non-Members $200
  Become a member of NSCP to attend free webinars and receive other member benefits:  LEARN MORE