6e. BD LAB – Best Practices for Testing, Supervision, and Surveillance (Intermediate) 

Effective supervision, monitoring, and testing are critical to determine the reasonableness of a compliance program and require careful planning.   Managing and deploying an effective program includes the ability to adapt as necessary to the changing regulatory environments.  In this lab, participants will take a hands-on learning approach to designing and implementing an effective program considering the evolution of technology and available resources. This session is closed to both regulators and members of the press.


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6d. PF – Conflicts of Interest in the Management of Private Funds (intermediate)

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6f. ALL LAB - Marketing Compliance Lab: Creating & Reviewing Effective Digital Communications (Basic)