Conferences and Speeches

NRS 29th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference

Tuesday, May 13, 2014 - Thursday, May 15, 2014
01:00 AM Eastern Daylight Time

The NRS Investment Adviser and Broker Dealer Compliance Spring Conference will explore what organizations need to do to develop the most effective compliance programs and explore key topics including regulation, training, ethics, damage control, risk management, pay to play, trading practices, examinations, marketing, AML, identity theft requirements, ERISA.

Jen Klass will be speaking on a panel on Wednesday May 14 at 2.30pm: Update on Social Media Compliance

  • Current regulatory action and thinking on social media
  • Developing flexible, evolving social media policy and training
  • Examples of approved v. non-approved social media uses/posts
  • Obligations regarding social media use by employees