Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1e. ALL LAB – Effective Enterprise Risk Mitigation (Intermediate) 11:00 AM - 12:15 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1f. BD LAB – Best Practices for Records Management (Advanced) 11:00 AM - 12:15 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 Awards Luncheon 12:15 PM - 1:15 PM Read More Monday Designsite 4/8/22 Monday Designsite 4/8/22 Networking Coffee Break 1:15 PM – 1:30 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 Designsite 4/8/22 Monday Designsite 4/8/22 Networking Coffee Break 2:30 PM – 2:45 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 Newer Posts Older Posts
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1e. ALL LAB – Effective Enterprise Risk Mitigation (Intermediate) 11:00 AM - 12:15 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1f. BD LAB – Best Practices for Records Management (Advanced) 11:00 AM - 12:15 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 Awards Luncheon 12:15 PM - 1:15 PM Read More
Monday Designsite 4/8/22 Monday Designsite 4/8/22 Networking Coffee Break 1:15 PM – 1:30 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 Designsite 4/8/22 Monday Designsite 4/8/22 Networking Coffee Break 2:30 PM – 2:45 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
