Half-Day Compliance Boot Camp Agenda - New York, NY - October 17, 2017

New York, NY
October 17, 2017

10:00 a.m. – 10:30 a.m.

Registration

  • Continental Breakfast

10:30 a.m. – 10:40 a.m.

Introduction

  • Welcome Remarks

10:40 a.m. – 12:15 p.m.

Session 1 – Branch Office Inspections

  • Discuss how to develop and implement a branch office inspection program.
  • Discuss how to execute and learn from a branch office inspection.
  • Learn ways to address inspection findings.
  • Discuss how to implement strong compliance practices.
  • Discuss case studies/vignettes

12:15 p.m. – 12:45 p.m.

Networking Lunch


12:45 p.m. – 2:30 p.m.

Session 2 – Suitability

  • Discuss rules and requirements governing suitability obligations, including the scope of investment strategies, the application of the rule to recommendations to hold and other important issues.
  • Review and discuss FINRA guidance on key aspects of FINRA Rule 2111.
  • Apply concepts covered through the use of vignettes.

2:30 p.m.

Adjourn