Don’t Miss Our March 26th Webinar: BD – Creating Effective Supervision Structures

Join us on March 26th at 2:00pm EST

This webinar will address the roles of compliance and supervision, and the potential pitfalls of having compliance perform supervisory functions. Centralized versus decentralized supervisory structures will be compared and contrasted. The discussion will then focus on factors specific to the business model and personnel that may favor a centralized or decentralized structure. Finally, supervisory controls and monitoring will be covered.

Learning Objectives:

  • Explore the roles and responsibilities of compliance oversight and performing supervisory functions
  • Compare and contrast centralized versus decentralized supervisory structures and what factors favor one over the other
  • Integrating and effectively utilizing technological solutions in the supervisory structure
  • Designing and implementing effective supervisory controls tailored to the business model and considerations for monitoring of the supervisory system
  • Vetting and oversight of third-party records retention providers

Daniel Korb, Principal, Bressler Amery & Ross
Kurt Lofgren, Senior Vice President, LPL Financial