Session 1 – ALL – Emerging Regulatory Issues

As the industry continues to evolve, experienced compliance professionals will discuss and share how they are addressing certain key emerging issues in light of regulatory                                             priorities from FINRA, SEC and DOL.

Learning Objectives:

  • Understand the most significant factors driving the adoption of ESG principles or standards as well as the fiduciary, regulatory and risk impact of ESG
  • Discuss why cannabis companies pose unacceptable legal risk for most financial institutions; provide an update on legislative efforts at the federal level to address the cannabis and financial services conundrum; and learn what a cannabis compliance program would entail based on the programs of credit unions and state banks who currently service the cannabis industry;
  • Review current retirement hot topics including zero fee funds, protecting vulnerable investors from predatory practices, and current retirement account initiatives at the FINRA, SEC, DOL and Congress.