How You Have Responded: Compliance and Firm Risks Associated with COVID-19
Sheltering-in policies have required our clients to work remotely and adjust the way they communicate with their clients – and each other. During this 30-minute webinar, we will explore five integral areas that all broker-dealers and registered investment advisers should consider, particularly in response to COVID-19 and looking ahead to the future. This webinar is being held EXCLUSIVELY for Jacko Law Group’s and Core Compliance & Legal Services’ clients. In this session, we will provide :
- An Overview of Regulatory Expectations for Disaster Preparedness
- Business Continuity – Have You Done Enough and Documented How You Responded to the Pandemic?
- Cybersecurity, Internal Controls and Supervisory Considerations for Working Remotely
- Client and Vendor Communications – Regulatory Guidance on What You Should Include
- Checklist of How to Mitigate Business and Compliance Risks Going Forward
Join Jacko Law Group, PC’s Managing Partner and CEO Michelle Jacko and Core Compliance’s Sr. Compliance Consultant Jim Smith in this interactive presentation. If you have questions you wish to pose to the panel, please send them to either Michelle or Jim at email@example.com or firstname.lastname@example.org.