In 2019, we hosted over 60 public webcasts featuring discussions on timely topics and issues ranging from regulatory compliance, performance, technology, financial crime, and cybersecurity.
As we approach the end of the year, we thought we’d look back at some of our most popular webcasts from 2019 and share them with you. All the following webcasts are available on demand to view at your convenience.
- The Compliance Year in Review
Listen for an overview of investment adviser and registered investment company compliance developments from 2019, and what to expect in 2020.
- The GIPS Standards: Are You Ready for 2020?
Take a look at highlights of the material changes to the GIPS standards, including how the final version compares to the 2020 GIPS Standards Exposure Draft.
- Best Practices for Compliance Forensic Testing
Tune in for a discussion on best practices in forensic testing, including electronic communications reviews and trade surveillance.
- Scariest Cyber Incidents – Tales from the Cyber Crypt
Learn more about the scariest cyber incidents of 2019 and how you can apply best practices to improve your security, educate employees, and protect your business.
- California Consumer Privacy Act: Preparing for January 1, 2020
Explore the final changes to the CCPA and how firms can prepare for the January 1, 2020 effective date.
- Senior Managers and Certification Regime: What you need to know
Learn about how the extension of the Financial Conduct Authority’s (FCA) Senior Managers and Certification Regime (SM&CR) is the next big regulatory challenge for financial firms in the UK and how to start an implementation plan.
- RegTech Solutions for Compliance Challenges: Code of Ethics Monitoring and Personal Trade Surveillance
Dig in to best practices and lessons learned in code of ethics monitoring and personal trade surveillance as well as looking at the future of RegTech.
- Lessons Learned from the Liquidity Risk Management Rule
Get our tips and lessons learned from implementing the requirements and what you should take into consideration.
- Performance Reporting Challenges for Hedge Funds
Explore performance reporting challenges for hedge fund managers including how prospective investors and their ODD teams are continuing to take a harder look at hedge funds firms’ institutional controls around performance calculation and reporting.
- Regulation Best Interest
Regulation Best Interest (Reg BI) requires broker-dealers and their representatives to act in the best interest of retail customers when recommending securities investments or investment strategies to retail customers. Find out more about the requirements of this regulation and what it means for broker-dealers.
Thank you for joining our webcasts, and we look forward to sharing more insights with you in 2020!