Monitoring and Surveillance Symposium For Broker-Dealers

Monitoring and Surveillance Symposium For Broker-Dealers

Join Abel Noser and Compliance Risk Concepts September 5th for the Monitoring and Surveillance Symposium for Broker-Dealers. This afternoon symposium is intended to be a fully interactive session that brings together Senior Level Compliance and Risk Management Executives to engage in the exchange and sharing of ideas, knowledge and various concepts surrounding monitoring and surveillance activities.

Mitch Avnet, Founder and Managing Partner of Compliance Risk Concepts (“CRC”) will act as the facilitator for the event. At the conclusion, participants should be able to:

  • Understand and “level-set” organizational readiness at their respective institutions
  • Understand the impact of inadequate monitoring and surveillance routines and systems have on Compliance, Technology, Risk Management, and Audit Resources
  • Size budgetary impact that monitoring and surveillance requirements will have on organizations at implementation and ongoing support / maintenance
  • Understand “common” and “unique” challenges that exist across peer group organizations
  • Understand the pros / cons of: “home-grown” solutions, outsourced solutions or a hybrid approach toward monitoring and surveillance activities

DATE:

Date: Wednesday, September 5th, 2018
Time: Time: 3:00 pm - 6:00 pm ET

LOCATION:

Location: The Kitano New York, 66 Park Avenue, East 38th St, New York, NY 10016

AGENDA

3:00-3:15 PARTICIPANTS ARRIVE / WELCOME COMMENTS
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3:15-4:00 REGULATORY FOCUS ON COMPLIANCE OVERSIGHT OF TRADING ACTIVITIES
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4:15-4:45 COST OF COMPLIANCE
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4:45-5:00 RECAP OF MEETING AND ACTION ITEMS
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5:00-6:00 NETWORKING EVENT

 

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