Dallas, Texas October 16th -18th
The National Society of Compliance Professionals is a nonprofit membership organization dedicated to serving and supporting compliance professionals in the financial services industry. NSCP is “For Compliance, By Compliance.” NSCP membership provides the financial services professional with a wide range of resources including a vast network of compliance peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.
The NSCP National Conference offers regulatory sessions with speakers from FINRA and the SEC, credits for CPE and CLE, 3 general sessions, 58 educational breakout sessions and 13 talk groups.
The topic of Charlie’s discussion is Off-Channel Communications. This interactive group discussion will focus on issues related to off-channel communications for small to medium-size firms. This moderated discussion will focus on best practices and approaches firms have taken related to off-channel communications and the growing list of available tools and technologies.
“With the regulatory attention focused on off-channel communications,” offers Charlie Weeden, “not only should compliance officers be proactive in managing these complex platforms but also incorporate policies in which employees attest that they will comply with such policies.”
Charlie is Managing Director of 17a-4 and over the past 20 years has assisted hundreds of regulated organizations to develop e-messaging policies and procedures to comply with Rule 17a-4, other regulations and internal policies and procedures. Mr. Weeden has also served as an expert witness on behalf of the Securities & Exchange Commission on e-messaging matters.
17a-4 is the leading D3P provider for US broker dealers and provides compliance management solutions and services to highly regulated industries beyond financial services including healthcare, government, education, and energy.