Jacqueline Sanz

Chief Compliance Officer

All Sessions by Jacqueline Sanz

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Day 1: Jun 17, 2020

4:00 pm

4:00 pm

Remote Management and Covid-19: Managing Oversight, Audits, and Other Ongoing Challenges

Work from home mandates presents new challenges for compliance officers. With more remote work, and the challenges surrounding monitoring and other compliance issues, learn how firms are coping with the changes. Join the discussion on how best to address:

  • What the temporary blanket relief for registrants and unregistered capital markets participants entails
  • The special challenges of overseeing advisors when all parties are working remotely
  • Supervising registerable activities remotely
  • Increased risks from non-face-to-face interactions and reliance on digital and virtual communications
  • Cybersecurity impact to compliance and risks programs
  • The current auditing challenges, and what to expect going forward

Assess the compliance challenges faced during Covid-19 as we move into a new year

Day 2: Jun 18, 2020