Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 Awards Luncheon 12:15 PM - 1:15 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2a. ALL – Behavioral Ethics in Finance: Detecting Compliance Risks Before They Escalate (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2b. ALL - Crypto 2.0: Compliance Considerations for Crypto Assets (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2c. IA/PF—Compliance Testing, Surveillance, and the Annual Review (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2d. PF – Compliance Considerations in Reports and Other Communications with Investors (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2e. ALL LAB – Managing Conflicts of Interest in the Firm’s Business Activities (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2f. BD LAB – Preparing for BD Regulatory Examinations (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2g. BD/IA - Dual Registrants Talk Group (Medium to Large Firms) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2h. BD/IA - Dual Registrants Talk Group (Smaller Firms) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3a. ALL – Evolving Privacy Regulations (Intermediate) 2:45 PM - 4:00 PM Read More Monday Holly Orefice 4/8/22 Monday Holly Orefice 4/8/22 3b. ALL – Demystifying CRD and IARD: Navigating the Essentials (Basic) 2:45 PM - 4:00 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3c. BD/IA - Evaluating Enforcement Risk When Deficiencies or Violations are Identified (Intermediate) 2:45 PM - 4:00 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3d. IA/PF - The Marketing Rule: Practical Guidance from What We Have Learned (Intermediate) 2:45 PM - 4:00 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3e. BD/IA LAB – Protecting Senior/Vulnerable Investors (Intermediate) 2:45 PM - 4:00 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3f. ALL LAB – Positioning a Compliance Program in Small to Mid-size Firms (Intermediate) 2:45 PM - 4:00 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3g. ALL – AI & Technology Challenges Talk Group - (CLOSED) 2:45 PM - 4:00 PM Read More Tuesday Meghan Flanagan 4/8/22 Tuesday Meghan Flanagan 4/8/22 General Session - Keynote Panel: SEC Examination Leaders Forum (OPEN) 8:30 AM - 9:30 AM Read More Tuesday Meghan Flanagan 4/8/22 Tuesday Meghan Flanagan 4/8/22 4a. ALL - Cybersecurity: Safeguarding Against Evolving Threats in the Digital Age (Intermediate) 9:45 AM - 11:00 AM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 4b. BD/IA - Recommending Alternative or Complex Products (Intermediate) 9:45 AM - 11:00 AM Read More Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 4c. IA - Integrating Compliance During M&A Transition (Advanced) 9:45 AM - 11:00 AM Read More Newer Posts Older Posts
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 Awards Luncheon 12:15 PM - 1:15 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2a. ALL – Behavioral Ethics in Finance: Detecting Compliance Risks Before They Escalate (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2b. ALL - Crypto 2.0: Compliance Considerations for Crypto Assets (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2c. IA/PF—Compliance Testing, Surveillance, and the Annual Review (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2d. PF – Compliance Considerations in Reports and Other Communications with Investors (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2e. ALL LAB – Managing Conflicts of Interest in the Firm’s Business Activities (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2f. BD LAB – Preparing for BD Regulatory Examinations (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2g. BD/IA - Dual Registrants Talk Group (Medium to Large Firms) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2h. BD/IA - Dual Registrants Talk Group (Smaller Firms) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3a. ALL – Evolving Privacy Regulations (Intermediate) 2:45 PM - 4:00 PM Read More
Monday Holly Orefice 4/8/22 Monday Holly Orefice 4/8/22 3b. ALL – Demystifying CRD and IARD: Navigating the Essentials (Basic) 2:45 PM - 4:00 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3c. BD/IA - Evaluating Enforcement Risk When Deficiencies or Violations are Identified (Intermediate) 2:45 PM - 4:00 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3d. IA/PF - The Marketing Rule: Practical Guidance from What We Have Learned (Intermediate) 2:45 PM - 4:00 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3e. BD/IA LAB – Protecting Senior/Vulnerable Investors (Intermediate) 2:45 PM - 4:00 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3f. ALL LAB – Positioning a Compliance Program in Small to Mid-size Firms (Intermediate) 2:45 PM - 4:00 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 3g. ALL – AI & Technology Challenges Talk Group - (CLOSED) 2:45 PM - 4:00 PM Read More
Tuesday Meghan Flanagan 4/8/22 Tuesday Meghan Flanagan 4/8/22 General Session - Keynote Panel: SEC Examination Leaders Forum (OPEN) 8:30 AM - 9:30 AM Read More
Tuesday Meghan Flanagan 4/8/22 Tuesday Meghan Flanagan 4/8/22 4a. ALL - Cybersecurity: Safeguarding Against Evolving Threats in the Digital Age (Intermediate) 9:45 AM - 11:00 AM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 4b. BD/IA - Recommending Alternative or Complex Products (Intermediate) 9:45 AM - 11:00 AM Read More
Tuesday Meghan Flanagan 4/7/22 Tuesday Meghan Flanagan 4/7/22 4c. IA - Integrating Compliance During M&A Transition (Advanced) 9:45 AM - 11:00 AM Read More
