Supervision Workshop Session Handouts

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

FSI White Paper – Independent Broker Dealers: Supervisory Practices