March 18, 2021

National Society of Compliance Professionals: Hot Topics in Compliance

Best Practices for Managing Through Uncertainty



Faegre Drinker Partner Jim Lundy will share insight on financial services compliance in an upcoming National Society of Compliance Professionals (NSCP) webinar. “Best Practices for Managing Through Uncertainty” will examine how a change in the White House administration may result in new financial services legislation and regulatory priorities in the areas of enforcement and examinations that in turn will impact financial services compliance departments. Jim and his fellow panelists will:

  • Review regulatory change and the SEC and FINRA’s regulatory priorities under the new administration
  • Examine the impact of regulatory enforcement actions, trends, guidance, and emerging best practices
  • Discuss strategies to help compliance departments adapt their programs to uncertainty and a continually changing regulatory environment
  • Analyze changes brought about by the new administration with a view towards the impact on compliance officers and the firms that they support

Services and Industries

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