Partners Peter Chan and Steve Stone will participate on panels at the 2015 National Society of Compliance Professionals (NSCP) annual conference.
Panel: "Broker-Dealers: Effective Practices for Managing Conflicts of Interest"
Monday, November 2 | 2:10–3:45 pm
Panelist: Peter Chan
This panel will cover topics including:
- Identifying and understanding conflicts within the business model
- Developing a compliance and ethics program to address the conflicts
- Establishing standards and procedures to prevent and detect conflicts
- Establishing supervision and oversight responsibilities
- Response and prevention steps to prevent a recurrence
Panel: "Global Compliance"
Tuesday, November 3 | 2:10–3:25 pm
Panelist: Steve Stone
View the presentation >>
This panel will cover topics including:
- European Union (EU) Directive
- Alternative Investments Fund Managers Directive (AIFMD)
- Foreign Corrupt Practices Act (FCPA)
- Oversight and supervision – (firm vs. individuals & small firm vs. large firms)
- Regulatory framework – registration, disclosures and distributions
Panel: "Legal vs. Compliance vs. Ethics"
Wednesday, November 4 | 9:30–10:30 am
Panelist: Steve Hansen
This panel will cover topics including:
- Why do ethics matter?
- Relationship between law and ethics
- Legal requirements vs. best practices
- How does a firm create an ethical culture?
- Practical applications for best practices