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
- Date:March 16, 2022
- Time:12:00 pm
- Event:SESSION 1: Operating in a Remote World
SESSION 2: Standards of Care/Conduct
