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.
- 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.
- Date:April 20, 2020
- Time:8:30 am
2020 Spring Conference – April 20