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:
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.