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| Sessions |
General Sessions:
SEC Keynote
Keynote - Todd Buchholz
Regulatory Roundtables - FINRA/SEC/State
Disaster strikes - are you prepared? Test your business continuity plan.
Social media - compliance and environment (with Smarsh)
Ten Commandments for Avoiding Customer Complaints.
BD Sessions:
You’ve been designated CCO of your broker-dealer, what next?
Financial Compliance: Give the regulators what they expect to see and never worry about another financial exam.
Your Procedures Manual: A roadmap to compliance
3012 Testing - Best practices
Tuning the AML to your business
Preparing for year-end: Build your calendar (WORKSHOP)
Be prepared for annual audit: PCAOB and CPA requirements
No More Sleepless Nights! What to expect from FINRA & States: BD Examination Guidelines
Has your BD made material business changes?
Advertising Workshop - test your review skills for BD/RIA (WORKSHOP)
RIA Sessions:
Is your compliance program up to snuff?
SEC 206(4)-7 Testing - Best practices
You have custody and you don't even know it
Market Abuse & Manipulation
Best Execution Review: Yes this does mean you!
Reducing risk through Form ADV disclosure
Don't be conflicted: OBA, Pay to Play, Gifts, Private securities transactions
ERISA/DOL
