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ARTICLE · 02 MAY 2020

Keeping Compliant With Financial Services Regulation When Working Remotely: A U.S. And EU Best Practice Conversation

Jones Day
Jones Day
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Jones Day

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Join us for an interactive discussion on Tuesday, April 14th from 8:30 AM to 9:00 AM on keeping compliant with financial services regulation when working remotely. On this call, speakers from our U.S. and European offices...

GlobalFinance and Banking
Jones Day
Jones Day
Michael R. Fischer
Michael R. Fischer
Philippe Goutay
Philippe Goutay
Stephen Obie
Stephen Obie
Laura S. Pruitt
Laura S. Pruitt
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Join us for an interactive discussion on Tuesday, April 14th from 8:30 AM to 9:00 AM on keeping compliant with financial services regulation when working remotely. On this call, speakers from our U.S. and European offices will lead an engaging conversation on several topics including:

  • Maintaining books and records integrity while working remotely;
  • Exercising remote supervision; and
  • Maintaining trading obligation compliance.

This call will be of interest to many financial services providers, including broker-dealers and investment advisers. 

To register for the call, please email William Sleight at [email protected].

DISCUSSION LEADERS

  • Sergio Alvarez-Mena, Miami

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