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08-20-20

Novel Coronavirus Leads to Novel Compliance Concerns: Branch Audits and Selling Away

Lilian Morvay, Bates Group Expert and Founder/CEO of the Independent Broker Dealer Consortium (IBDC) presents this complimentary webinar. She is joined on the panel by Bates Compliance Director Jill Ehret, Bates Cybersecurity Expert Paul Horn (Founder/CEO, H2Cyber), moderator Dan Newman, Esq. (Partner, Nelson Mullins), Scott Sherman, Esq. (Partner, Nelson Mullins), and Melissa Tarentino (Vice President of Legal Affairs, Ladenburg Thalmann Financial Services).

Our panel of experts explore:

  • Performing FINRA Mandated Branch Supervision and Audit Responsibilities in a Virtual World;
  • Tips & Best Practices for Reviewing OBAs and Identifying Potential Selling Away Issues in the Midst of a Pandemic;
  • Legal: Recent Actions Involving Branch Audits, Supervision and Selling Away;
  • Incorporating Virtual Supervision Into Your Newly Established Reg BI Procedures;
  • Maintaining Cyber Vigilance in the World of Virtual Supervision and Audits.

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