[Webinar] Industry Roundtable on Compliance Trends

As with many professions in 2020, compliance officers have faced several unforeseen challenges throughout the past few months. In our upcoming roundtable discussion, we’ll be addressing these compliance challenges first-hand with several industry experts. Join us on November 12, 2020 at 1PM CT to hear the perspectives of our three panelists as they tackle topics such as, the CCO’s role amid the COVID-19 pandemic, observations from Reg BI, and how they’re currently tackling internal branch investigations.

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The discussion will be led by Quest CE’s Sales and Strategic Accounts Manager, Jennifer Greene, who will be joined by our featured panelists, Jane Riley of The Leader’s Group, Gary Fox of SDDCO, and Pam Ziermann of Capital Forensics. Following the moderated panel discussion, the floor will open to attendees for a live Q&A session. Questions may be submitted during the registration process, or through the webinar chat function during the presentation.

Meet our panelists:

Agenda:

The Compliance Officer’s Role Amid COVID-19

     – Overcoming Remove Work Challenges
     – Taking a Fresh Look at BCP Plans
     – Changing Exam Priorities from 2020/2021

Reg BI: Initial Observations & Takeaways

     – Newly Surfacing Issues/Trends
     – Training, Supervision and Reporting
     – What Did we Learn?

Branch Office Visits and Oversight Structure: How Firms are Pivoting?

     – FINRA Extension: To Audit, or Not to Audit
     – A Move Toward Virtual Delivery
     – Adjusting to Changes to Oversight/Access Roles

REGISTER NOW >>

The seat limit for this session is 500 participants. The anticipated duration of this webinar is 45 minutes. If you or an associate is unable to attend the webinar but would still like a demonstration/copy of the presentation, please contact our sales team at 877-593-3366 or sales@questce.com.

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About Quest CE

For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.

Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.