Effective Supervision

Project Details:

This webcast highlights common topics and best practices for effective supervision. It is aimed at providing you with knowledge of what our Business Conduct Compliance and Trading Conduct Compliance teams look for regarding compliance supervision during examinations. Topics covered include remote supervision; record keeping and inquiries; tiered supervision and the overall structure of supervision within the firm; a high-level look at UMIR supervision requirements; delegation; systems and tools.

The webcast panelists are:

Gloria Law, Manager, Business Conduct
Saran Forbes, Senior Business Conduct Compliance Examiner
Gabby Rizzello, Business Conduct Compliance Examiner
William Xu, Manager, Trading Conduct Compliance

Program Details

March 1, 2023

Continuing Education Credit:

Investment Dealer CE Credit: Compliance: 0.50; Mutual Fund Dealer CE Credit: Business Conduct, Non-Ethics: 0.50

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