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.
- Continental Breakfast
10:30 a.m. – 10:40 a.m.
- 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.
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.