How to Supervise Your Suddenly Remote Broker-Dealers and Investment Advisers
About this event
Recap of webinar with regulatory experts on how firms can continue to meet supervisory obligations with a workforce now located across multiple locations. How to Supervise Your Suddenly Remote Broker-Dealers and Investment Advisers is an official webinar listing associated with Smarsh.
Visit the company-owned event page for the organizer's latest agenda, access details, availability, and registration or viewing instructions. UPCOMING provides this independent listing to help professionals discover the session.
What you'll learn
- Update lists of each remote worker location
- Ensure that work-related electronic communications must be transmitted through your approved electronic systems
- Confirm that each BD & adviser has notified a registered supervisor and receive approval when working from the remote location
- Technology governance plans should be updated to address new applications possibly overlooked in communication review and archiving processes
- Consider your vendors capacity in current market volatility
Topics covered
Frequently asked questions
Who is hosting How to Supervise Your Suddenly Remote Broker-Dealers and Investment Advisers?
How to Supervise Your Suddenly Remote Broker-Dealers and Investment Advisers is hosted by Smarsh.
When is How to Supervise Your Suddenly Remote Broker-Dealers and Investment Advisers?
See the official event page for How to Supervise Your Suddenly Remote Broker-Dealers and Investment Advisers's confirmed availability and schedule details.
Where does registration take place?
Registration or viewing is completed on Smarsh's website.
What format is this event?
This is an online webinar.
Which topics does this event cover?
The event covers HR and Data.
