March 16, 2022
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.
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.
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.