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