March 16 Virtual Seminars: Industry Experts Share Their Knowledge and Best Practices
Join Us for Two Virtual Seminars on March 16th
Session 1: Compliance Considerations for Operating in a Remote World
Session 2: Navigating the Various Standards of Care/Conduct
Benefits of NSCP’s Virtual Seminars:
• Gain knowledge, insight and understanding
• Hear best practices from industry experts
• Receive valuable materials and resources
• Earn CE credits without having to travel
• Learn ways to improve your processes
• Get answers to your questions
Event Description:
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.
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
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.
Learning Objectives:
Learn how firms have implemented the different standards of care/conduct
Review recent enforcement cases regarding the different standards of care
Demonstrate different opportunities to leverage existing disclosures and business processes to reduce repetitiveness
Discuss how to train and communicate on the different standards of conduct/care in an effective and easy to understand manner
Continuing Education Credits
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.
