Keeping Compliant with Financial Services Regulation When Working Remotely: A U.S. and EU Best Practice Conversation
Join us for an interactive discussion on Tuesday, April 14th from 8:30 AM to 9:00 AM on keeping compliant with financial services regulation when working remotely. On this call, speakers from our U.S. and European offices will lead an engaging conversation on several topics including:
- Maintaining books and records integrity while working remotely;
- Exercising remote supervision; and
- Maintaining trading obligation compliance.
This call will be of interest to many financial services providers, including broker-dealers and investment advisers.
To register for the call, please email William Sleight at firstname.lastname@example.org.
- Sergio Alvarez-Mena, Miami
- Peggy Blake, Washington
- Michael Butowsky, New York
- Michael Fischer, Frankfurt
- Philippe Goutay, Paris
- Steve Obie, New York
- Laura Pruitt, Washington