Half-Day Compliance Boot Camp Agenda - Long Island, NY - October 19, 2017

Long Island, NY
October 19, 2017

9:00 a.m. – 9:30 a.m.

Registration

  • Continental Breakfast

9:30 a.m. – 9:45 a.m.

Introduction

  • Welcome Remarks

9:45 a.m. – 11:00 a.m.

Session 1 – Cybersecurity

  • Discuss effective practices to protect against cybersecurity threats.
  • Outline resources available to help firms determine if their policies and procedures are adequate.
  • Discuss case studies.

11:00 a.m. – 11:15 a.m.

Break


11:15 a.m. – 12:15 p.m.

Session 2 – Effective Practices for Working With Senior Investors

  • Discuss who is a senior investor.
  • Discuss practices to effectively supervise the accounts of senior investors.
  • Discuss FINRA’s proposed rules on financial exploitation of seniors and other vulnerable adults.
  • Outline resources available to help determine if firm policies and procedures are adequate.

12:15 p.m. – 1:00 p.m.

Networking Lunch


1:00 p.m. – 1:30 p.m.

Session 2 – Effective Practices for Working With Senior Investors (cont’d)

  • Apply concepts covered through the use of vignettes.

1:30 p.m.

Adjourn