Webinar: BD/RIA Remote Working Environments

Evolving rules, challenges, and expectations

Join us for an ICEN membership exclusive webinar exploring the evolution of remote work environments in the financial services industry. In response to the pandemic, industries, including financial services, quickly embraced remote setups. Regulators like FINRA and the SEC provided short-term relief while maintaining supervision obligations for BDs and RIAs. Today, firms are expanding physical locations, while remote work remains a popular choice.

Discover how these changes impact your obligations, challenges, and regulatory expectations so you know what to expect going forward.

Key topics will include:

Residential supervisory locations (RSLs)
Remote supervision obligations & best practices (BDs/RIAs)
High-risk inspection areas such as off-channel communications
Actionable key-takeaways

We encourage you to send your questions ahead of time to our speakers Stephanie Richards or Alex Egan to add to the discussion.

Event Date

Wednesday, August 21, 2024
12:00pm - 1:00pm ET

Key Details

Link to join webinar will be provided in your confirmation email & calendar invite.

COMPLIANCE. CONNECTED.

Speakers

Stephanie Richards, CAMS
Principal, Broker-Dealer & Investment Adviser Services

Bio

Alex Egan

Director, Broker-Dealer & Investment Adviser Services

Bio

Jose Restrepo,
Chief Compliance Officer (CCO),
Amerant Investments

Bio

Register for the webinar

By registering for this event, you may* become a member of the ICEN professional network, you acknowledge and consent to share your data for networking and collaboration purposes. Your personal information is valued and respected. Please review our Privacy Policy for additional information.

*ICEN membership is only available to in-house broker-dealer and/or registered investment adviser compliance executives (e.g., CCO, Deputy CCO, Chief Risk, Chief Legal, AMLCO, etc.). ICEN membership is not available to regulators, technology and service providers, law firms, or other executives from outside industries at this time. Registration forms not meeting this criterion will be declined.

About ICEN

The ICEN network is an invitation-only, peer-level group composed of compliance executives from broker-dealers, registered investment advisers and private fund advisers, as well as selected advisory partners. Members will have exclusive access to live learning events, virtual conversations, and networking with investment compliance industry peers. Kaufman Rossin’s risk advisory services professionals will help to lead learning events and facilitate connections.