SESSION 2: Hot Topics in Compliance: Best Practices for Managing Through Uncertainty

As we have all learned from the challenges of the past year, the only certainty is continued uncertainty.   This session will examine how a change in the Federal Administration may result in new financial services legislation and regulatory priorities in the areas of enforcement and examinations that in turn will impact financial services compliance departments.

Learning Objectives:

  • Review regulatory change and the SEC and FINRA’s regulatory priorities under the new administration
  • Examine the impact of regulatory enforcement actions, trends, guidance, and emerging best practices
  • Discuss strategies to help compliance departments adapt their programs to uncertainty and a continually changing regulatory environment
  • Analyze changes brought about by the new Federal Administration with a view towards the impact on compliance officers and the firms that they support