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complimentary webinar

Looking Back to Move Forward: Practical Guidance for Strong Compliance in 2021

Tuesday, December 15, 2020 
12PM EST

Taking a look back can help you move forward. Now’s the time to take a step back and consider how new or elevated risks during the year have been addressed, how controls have been established, and how compliance initiatives undertaken at year-end can set the stage for a stronger compliance program in 2021. Join Myles Blechner, Senior Director at Foreside, for a look back at 2020 and practical guidance on managing compliance in 2021, including:

  • Best practices for addressing pandemic-related risks in 2020 (and going forward)
  • Effective testing programs & annual reviews
  • Remediation of known risks/issues (has my firm addressed SEC/FINRA priorities?)
  • Compliance checklists, training, and reporting

A Question and Answer session will follow.

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this webinar starts in

12/15/2020 12:00 PM EST

Featured Presenter

Myles Blechner
Senior Director, Foreside

Mr. Blechner provides compliance consulting services to registered investment advisors, working to develop effective compliance programs and solve complex regulatory issues, including serving as an Outsourced CCO. Prior to joining Foreside, he served as CCO for Lebenthal & Co., LLC and its affiliated advisers, Paine Webber/UBS, Dreyfus Service Corporation, Laidlaw & Co (UK) Ltd, First Empire Securities, and Schonfeld Securities. He holds FINRA Series 4, 7, 9/10, 24, 53, 55, 63, 79 and 99 registrations.