June 16, 2020 @ 11:00 AM PST/2:00 PM EST | Speakers: James Smith and Robert Ross
Sheltering-in policies have required firms to work remotely and adjust the way they communicate with their clients – and each other. Join James Smith, Senior Compliance Consultant, Core Compliance & Legal Services, and Robert Ross, Senior Vice President and Chief Compliance and Risk Officer, Boston Private, in this webinar exploring integral areas that all broker-dealers and registered investment advisers should consider, particularly in response to COVID-19 and what their compliance programs need to include as we all look ahead toward the future.
In this webinar, we will provide and cover:
• 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
• A checklist of how to mitigate business and compliance risks going forward