Don't Miss Out!
Conferences, Seminars, & Other industry Events
11/02-03/2020: St. Pete Beach, Florida
The BasisCode Consortium offers a unique opportunity for you to attend a hands-on forum that brings together industry leaders in compliance consulting and technology. Unlike other conferences, this will be an interactive and practical learning experience in a small, more intimate setting with a focus on hands-on training and information exchange. The conference sessions will consist of timely topics covering best practices in managing compliance programs and the application of these best practices within the most comprehensive compliance technology led by BasisCode Find out more here!
MGL Regulation BI: What You Need To Know.
3/26/2020: Houston, Texas
This event is presented jointly by MGL Consulting, LLC and Jones Day. Planelists will include speakers from MGL Consulting, Jones Day and others to discuss Regulation BI, how to prepare and what to expect when the regulation becomes effective on June 30, 2020. Stay tuned for more information!
Regulatory Focus for 2020
What is on the horizon
Our Industry is one which sees constant change and growth. While there are many moving pieces, here are some issues from within the industry to look out for in the near future.
Areas of interest
- Regulatory Best Interest (Reg BI) and Form CRS
- Increased scrutiny in Firm procedures surrounding Retail Communications for Private Placements
- Increased interest from FINRA for firms wishing to engage in digital asset activities. Focus includes
- Increasing Cybersecurity scrutiny consistent with Regulation S-P Rule 30
- Internal Technology Governance pertaining to system changes including documentation, approval process, and system testing.
and news from within the industry
While we know that not everyone can attend every conference or meeting, it is important to know what is being discussed, what is receiving increased attention and what you should be looking to in the future to ensure your Firm's success. Below is a small snapshot of some current industry topics.