Wednesday Meghan Flanagan 5/8/25 Wednesday Meghan Flanagan 5/8/25 Breakfast 7:30 AM - 9:00 AM Read More Wednesday Meghan Flanagan 5/1/22 Wednesday Meghan Flanagan 5/1/22 General Session Keynote Panel: SEC & FINRA Enforcement Priorities 8:30 AM - 9:30 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8a. ALL – Regulatory Implications for Artificial Intelligence: Oversight and Risk Mitigation for AI (Intermediate) 9:45 AM – 11:00 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8b. BD/IA – Understanding the Complexities of Insurance Compliance (Intermediate) 9:45 AM – 11:00 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8c. IA – Effective Supervisory Programs for Firms (Intermediate) 9:45 AM – 11:00 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8d. IA/PF – Compliance Challenges with Difficult to Value Securities (Advanced) 9:45 AM – 11:00 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8e. ALL LAB – “Reasonable” Procedures to Prevent Misuse of MNPI (Intermediate) 9:45 AM – 11:00 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9a. ALL - Incident Response Plan - Remediation and Reporting of a Breach (Intermediate) 11:15 AM - 12:15 PM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9b. ALL – Offering Complex Products (Intermediate) 11:15 AM - 12:15 PM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9c. BD - Identity Theft: How Reg S-ID & Reg SP Intersect with AML (Intermediate) 11:15 AM - 12:15 PM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9d. IA – Advisory Fee Billing: Risks and Best Practices (Intermediate) 11:15 AM - 12:15 PM Read More Wednesday, 9e Meghan Flanagan 4/7/22 Wednesday, 9e Meghan Flanagan 4/7/22 9e. ALL LAB - Best Practices for Enforcing Codes of Ethics and Conduct (Intermediate) 11:15 AM - 12:15 PM Read More
Wednesday Meghan Flanagan 5/8/25 Wednesday Meghan Flanagan 5/8/25 Breakfast 7:30 AM - 9:00 AM Read More
Wednesday Meghan Flanagan 5/1/22 Wednesday Meghan Flanagan 5/1/22 General Session Keynote Panel: SEC & FINRA Enforcement Priorities 8:30 AM - 9:30 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8a. ALL – Regulatory Implications for Artificial Intelligence: Oversight and Risk Mitigation for AI (Intermediate) 9:45 AM – 11:00 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8b. BD/IA – Understanding the Complexities of Insurance Compliance (Intermediate) 9:45 AM – 11:00 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8c. IA – Effective Supervisory Programs for Firms (Intermediate) 9:45 AM – 11:00 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8d. IA/PF – Compliance Challenges with Difficult to Value Securities (Advanced) 9:45 AM – 11:00 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8e. ALL LAB – “Reasonable” Procedures to Prevent Misuse of MNPI (Intermediate) 9:45 AM – 11:00 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9a. ALL - Incident Response Plan - Remediation and Reporting of a Breach (Intermediate) 11:15 AM - 12:15 PM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9b. ALL – Offering Complex Products (Intermediate) 11:15 AM - 12:15 PM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9c. BD - Identity Theft: How Reg S-ID & Reg SP Intersect with AML (Intermediate) 11:15 AM - 12:15 PM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9d. IA – Advisory Fee Billing: Risks and Best Practices (Intermediate) 11:15 AM - 12:15 PM Read More
Wednesday, 9e Meghan Flanagan 4/7/22 Wednesday, 9e Meghan Flanagan 4/7/22 9e. ALL LAB - Best Practices for Enforcing Codes of Ethics and Conduct (Intermediate) 11:15 AM - 12:15 PM Read More
