Washington DC Compliance Roundtable Webinar: Coronavirus Considerations for SEC and CFTC Registrants
March 31 @ 1:00 pm - 2:00 pm CDT
Amidst uncertainty brought on by COVID-19 (i.e., the current coronavirus), advisers, broker-dealers, commodity pool operators and commodity trading advisors should continue to focus on effective implementation of compliance policies and procedures. The Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) will be judging the effectiveness and implementation of your policies during this crisis as part of your next exam. So how can you best achieve compliance during these chaotic times? This webinar will help you begin to address and document your compliance efforts. Remember that if you do not document your compliance efforts, the SEC and CFTC will assume that such efforts did not occur. Our speakers are Nicole Kalajian from Stradley Ronon and Marina Baranovsky of Scitus Consulting LLC.
This webinar will be broadcast in video mode and available for on-demand viewing for the registered participants after our live presentation. After registering, you will receive a confirmation email containing information about joining the webinar.
To register, click here.