Effective Oversight Structures for Broker-Dealers

  • November 9, 2021
  • 2:00 pm - ET

National Society of Compliance Professionals’ National Conference

Join Scott Noah of Stevens & Lee at the NSCP National Conference being held November 8-10 at the Gaylord National in National Harbor, Maryland, for a panel discussion on Effective Oversight Structures for Broker-Dealers.

This session will address the roles of compliance and supervision, and the potential pitfalls of having compliance perform supervisory functions. Discussions will be focused on the importance of the role of the CCO along with implementing effective supervisory controls, monitoring and technology needs.

Learning Objectives:

  • Understand and avoid CCO liability by creating a strong oversight and supervisory structure
  • Empower the role of the CCO to help ensure that others are aware of their responsibilities under the compliance policies
  • Discuss the importance of periodically monitoring procedures to ensure supervisory controls are reasonably designed and tailored to the firm’s business activities and model
  • Understand how technology can assist in building a robust supervisory structure

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