Thank you for attending the Financial Services Institute’s (FSI) Supervision Workshop. Below are links to the slide decks and other handouts for each session.
Getting Down to Business: Recent Enforcement Actions in IBD Supervision & What They Mean for Business
Regulators are Following the Money: Compensation Received by Advisor Owned Entities & Why it Can be a Problem for IBDs
It’s All a Balancing Act: The Supervision & Independent Contractor Status Conundrum
No More Phishing Around: Cybersecurity, Data Protection & State Intervention
- Session Slides – Sam Attias, VP Marketing, workplace_by OS33
- Session Slides – Kylee Beach, General Counsel, NorthStar Financial Services Group, LLC
- Session Slides – Frank Smith, SVP, Information Security and Data Privacy, First Command Financial Services, Inc.
- Session Slides – Scott Matasar, Partner Matasar Jacobs LLC
- April 2019 OCIE Alert on Reg S-P
FSI White Paper – Independent Broker Dealers: Supervisory Practices