08-20-20
Novel Coronavirus Leads to Novel Compliance Concerns: Branch Audits and Selling Away
Lilian Morvay, Bates Group Expert and Founder/CEO of the Independent Broker Dealer Consortium (IBDC) presents this complimentary webinar. She is joined on the panel by Bates Compliance Director Jill Ehret, Bates Cybersecurity Expert Paul Horn (Founder/CEO, H2Cyber), moderator Dan Newman, Esq. (Partner, Nelson Mullins), Scott Sherman, Esq. (Partner, Nelson Mullins), and Melissa Tarentino (Vice President of Legal Affairs, Ladenburg Thalmann Financial Services).
Our panel of experts explore:
- Performing FINRA Mandated Branch Supervision and Audit Responsibilities in a Virtual World;
- Tips & Best Practices for Reviewing OBAs and Identifying Potential Selling Away Issues in the Midst of a Pandemic;
- Legal: Recent Actions Involving Branch Audits, Supervision and Selling Away;
- Incorporating Virtual Supervision Into Your Newly Established Reg BI Procedures;
- Maintaining Cyber Vigilance in the World of Virtual Supervision and Audits.