With dozens of proposed rules on the SEC’s docket, not to mention new DOL, FINRA, and State rules, compliance teams are preparing for the inevitable this year…adopted rules potentially upending compliance programs. Between communicating new requirements to conducting firm-wide training, compliance professionals must be prepared to lead the charge in navigating what these new rules mean for their firms and the employees they monitor.
In this session, we will dig into effective tactics and best practices to help you socialize new rulings throughout your firm, ensuring everyone from the CEO down to the intern understands the implications and the importance of maintaining the highest standard of compliance.
