Tuesday Designsite 4/7/22 Tuesday Designsite 4/7/22 Networking Break 1:30 PM – 1:45 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6a. ALL - Developing your Compliance Team (Intermediate) 1:45 PM – 3:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6b. BD/IA - Due Care and Investment Advice: Confluence of Duties of Care? (Advanced) 1:45 PM – 3:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6c. IA/PF - Anti-Money Laundering: Understanding Financial Crimes and Countermeasures (Intermediate) 1:45 PM – 3:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6d. PF – Conflicts of Interest in the Management of Private Funds (intermediate) 1:45 PM – 3:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6e. BD LAB – Best Practices for Testing, Supervision, and Surveillance (Intermediate) 1:45 PM – 3:00 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6f. ALL LAB - Marketing Compliance Lab: Creating & Reviewing Effective Digital Communications (Basic) 1:45 PM – 3:00 PM Read More Tuesday Designsite 4/7/22 Tuesday Designsite 4/7/22 Networking Break 3:00 PM – 3:15 PM Read More Wednesday Designsite 4/7/22 Wednesday Designsite 4/7/22 Networking Break 9:40am-9:50am Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7a. ALL – Responding to Regulatory Investigations and Inquiries (Advanced) 3:15 PM – 4:30 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7b. ALL – “Insider Trading” Hot Topics (Intermediate) 3:15 PM – 4:30 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7c. BD/IA – Proactive Supervision: Handling Disciplinary Issues and Related Problems (Intermediate) 3:15 PM – 4:30 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7d. IA/PF – Addressing New & Complex Regulatory Filings (Intermediate) 3:15 PM – 4:30 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7e. Session Lab Topic To Be Announced 3:15 PM – 4:30 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7f. ALL LAB - Financial Health and Forensic Review (Intermediate) 3:15 PM – 4:30 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7g. ALL - Small Firm Issues Talk Group - (CLOSED) 3:15 PM – 4:30 PM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7h. IC – Investment Company Regulation Talk Group - (CLOSED) 3:15 PM – 4:30 PM 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) 9:50 AM – 11:05 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) 9:50 AM – 11:05 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8c. IA – Effective Supervisory Programs for Firms (Intermediate) 9:50 AM – 11:05 AM Read More Newer Posts Older Posts
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6a. ALL - Developing your Compliance Team (Intermediate) 1:45 PM – 3:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6b. BD/IA - Due Care and Investment Advice: Confluence of Duties of Care? (Advanced) 1:45 PM – 3:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6c. IA/PF - Anti-Money Laundering: Understanding Financial Crimes and Countermeasures (Intermediate) 1:45 PM – 3:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6d. PF – Conflicts of Interest in the Management of Private Funds (intermediate) 1:45 PM – 3:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6e. BD LAB – Best Practices for Testing, Supervision, and Surveillance (Intermediate) 1:45 PM – 3:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 6f. ALL LAB - Marketing Compliance Lab: Creating & Reviewing Effective Digital Communications (Basic) 1:45 PM – 3:00 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7a. ALL – Responding to Regulatory Investigations and Inquiries (Advanced) 3:15 PM – 4:30 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7b. ALL – “Insider Trading” Hot Topics (Intermediate) 3:15 PM – 4:30 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7c. BD/IA – Proactive Supervision: Handling Disciplinary Issues and Related Problems (Intermediate) 3:15 PM – 4:30 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7d. IA/PF – Addressing New & Complex Regulatory Filings (Intermediate) 3:15 PM – 4:30 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7e. Session Lab Topic To Be Announced 3:15 PM – 4:30 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7f. ALL LAB - Financial Health and Forensic Review (Intermediate) 3:15 PM – 4:30 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7g. ALL - Small Firm Issues Talk Group - (CLOSED) 3:15 PM – 4:30 PM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 7h. IC – Investment Company Regulation Talk Group - (CLOSED) 3:15 PM – 4:30 PM 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) 9:50 AM – 11:05 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) 9:50 AM – 11:05 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 8c. IA – Effective Supervisory Programs for Firms (Intermediate) 9:50 AM – 11:05 AM Read More
