7c. BD/IA – Proactive Supervision: Handling Disciplinary Issues and Related Problems (Intermediate)

Having established policies and procedures to address apparent infractions of rule and firm policy are critical to a firm’s supervisory structure as it can help remove subjectivity and certain biases.  Once this review is complete, firm supervisors need to begin making certain decisions based on the findings and take certain supervisory actions which may have downstream implications.  This session will discuss the identification and investigation process, various disciplinary actions that can be taken, and other considerations.  This session is open to regulators but closed to members of the press.

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