Course Description:
Regulatory focus on off-channel communications continues to create unprecedented urgency around how firms should be managing digital communications. This requires implementing controls that are effective on tools that can include voice, video, AI, collaborative authoring, emojis, and persistent chats. How can firms update processes to ensure compliance with the regulators?
Learning Objectives:
After attending this course, attendees should be able to:
- Review the unique risks across today’s communications
- Understand how the SEC, FINRA, and CFTC are expecting firms to manage off-channel communications risks
- Explore best practices to enhance controls and processes for effective supervision and oversight
For Whom: Chief Compliance Officers, Management Compliance Staff at all levels, Legal Counsel, Trading Personnel Persons involved with monitoring client portfolios
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based
Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940 to become familiar with the structure and terms.
Advance Preparation: None
Continuing Education Credits
COMPLY Continuing Education Guide
Recommended IACCP® CE Credit: 2
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended CA MCLE Credit: 2