May 14, 2020 - Quarterly NEBDIAA Meeting
Time & Location
About the Event
To NEBDIAA Members and Subscribers,
First and foremost, the NEBDIAA Board hopes you, your families and colleagues are well and safe.
As we all navigate through these uncertain times, we want you to know that you don’t have to do it alone. NEBDIAA and your peers are here to help you tackle the compliance challenges you and your firm are facing. Join fellow NEBDIAA members for a virtual meeting to discuss how others are addressing issues and learn about the experiences firms are having with regulators. While no topic is off limits, areas will include:
- Current SEC Exam Activity
- BCP SEC Sweep Questions
- Forms CRS and BD Preparedness
- Remote Work Environment Recordkeeping Considerations
- Client Service and Operational Challenges
- Open Mic – Bring Your Own Questions
Date: Thursday, May 14, 2020
Time: 2:00 – 3:30 pm (add to calendar)
Where: The Comfort of Your Home Office via Zoom
Zoom: Zoom information will be mailed to you upon registration and again before the meeting.
Please register to attend no later than Monday, May 11, 2020 at: https://www.nebdiaa.org/events-1/may-14-2020-quarterly-nebdiaa-meeting
Guests are welcome at no cost to members.