3110

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The NASD Rule 3110, provides specific requirements for how NASD members capture and store customer information. The rule applies to all records, mail, e-mail and instant messaging and most data collected from their customers. The rule also specifies how the records are processed, stored and in what format. Failure to comply with Rule 3110 could lead to substantial penalties.

The Knowledge Congress is assembling a panel of distinguished professionals and key regulators to help understand the impact of Rule 3110 and the indexed annuities market. The speakers will present their expert opinions in a two-hour LIVE Webinar.

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Conference
Recommended CLE/CPE Hours: 1.75 - 2.0
(Please note, your State Bar or Accounting Board will make the final determination with respect to continuing education credit. If you are applying for CLE credit in Texas you must register 20 days before the event date.)
Advance Preparation: Print and review course materials
Course Code: 083804
Recording Fee: $299 (Please click here for details)
NASBA Sponsor Number: 109004

 

Featured Speakers for NASD 3110 live webinar:                                                                                         


  Event Talking Points (click here for more)
SEGMENT 1:


Nicholas Mannarino, Managing Director,
Market Resolve, LLC

- Accountability within the Organization
- Control, enforcement of policy and procedures
- Organizational implementation of workflows / Process changes

SEGMENT 2:


Jonathan Costa-Saint John, Managing Director,
Market Resolve, LLC

With the challenging market environment, staff transitions, and search for cost efficient solutions for operational processing, it is increasingly important for firms to “get back to basics” and review their current operations from an operational and process risk perspective.

Geographic dispersion of functions, staff coverage requirements, the need for structured escalation of issues present unique challenges to operations managers. We summarize the systematic approach to reviewing and enhancing the control environment as DIMME: Define, Implement, Monitor, Mitigate, Evolve:

- Define & Implement:
  – Policies
  – Procedures
  – Workflow
  – Key Control Points
- Monitor and Mitigate Risk
  – Operational Process Flow
  – Key Control Points and Potential Fails
  – Respond to Potential Operational Risk
  – Documentation Control and Change Management
- Integration and Evolve
  – Legacy System Integration
  – Centralized Document Control, Global Distribution, Individual Role Authentication
  – Seamless Change Process and Communication

SEGMENT 3:


Brian L. Rubin, Partner,
Sutherland

- Recent enforcement actions
- Top 10 enforcement issues regarding email retention and use

SEGMENT 4:


Robert Boresta, Partner,
Winston & Strawn LLP

- Electronic Signatures - what is the lay of the land?
- Third Party Downloaders - requirements and best practices
- Policies to manage risk in electronic communications

SEGMENT 5:


Amy Lynch, CRCP, President,
FrontLine Compliance, LLC

Electronic recordkeeping- the do’s and don’ts
Customer Complaints- when does correspondence become a complaint?
Client files- what should files contain and what must be retained
New Account Forms- best practices


Market Resolve, LLC
Nicholas Mannarino
Managing Partner
speaker bio »»

Market Resolve, LLC
Jonathan Costa-Saint John
Managing Director
speaker bio »»

Sutherland
Brian L. Rubin
Partner
speaker bio »»

Winston & Strawn LLP
Robert Boresta
Partner
speaker bio »»

FrontLine Compliance, LLC
Amy Lynch, CRCP
President
speaker bio »»

Who Should Attend?

- Broker-dealers
- Securities firms & Stock brokerage firms
- Banks & Financial institutions
- Registered representatives
- Individuals that trade securities
- Individuals act as brokers for traders
- Investment Adviser

Why Attend?

This is a must attend event for anyone interested in understanding the related issues and developments on NASD 3110.
- New guidance explained by the most qualified key leaders & experts
- Hear directly from key regulators & thought leaders
- Interact directly with panel during Q&A

Registration Information:                                                                                                                                    



Rule 3110
Speaker Firms:






Event Sponsor:


Market Resolve is a New York-based firm that provides comprehensive industry-specific consulting, software solutions and staffing services to financial institutions. Servicing all areas of an organization, Market Resolve delivers innovative solutions with a focus on making enterprise-wide operational management appear “virtually seamless”. As a full-service solutions provider, our ability to tailor solutions on a case-by-case basis allows us to service market segments from start-up Hedge Funds to top-tier Institutions. Combining our extensive industry expertise and cutting-edge technology we help our clients address the diverse challenges faced by today’s the financial services industry.

Using our proprietary software, i5 Optimum®, you can manage organizational processes and control points from anywhere around the world and supply up-to-the-minute real-time activity-streamed data reducing cost and increasing efficiencies all while ensuring a repeatable, flawless process execution.

By introducing greater precision and certainty to operational management, you’ll be able to minimize risk, handle increased volumes, and ultimately, maximize your profits.

www.marketresolve.com

 

 

The Knowledge Conference is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Website: www.nasba.org

 

We are an approved multi-event sponsor in the state of California. Our provider ID is: 14451. In Texas, Illinois, and Virginia, we submit programs for individual approval in advance. In New York, our programs are submitted immediately after the event live date and attendees are sent the approval codes once we receive them from the New York State Bar. In all other states, once attendance is verified, participants are emailed an official certificate of attendance which they submit to their respective State Bar Associations. Our programs are created with continuing education in mind and are therefore designed to meet the requirements of all State Bar Associations. If you have any questions, please email our CLE coordinator at: info@knowledgecongress.org

 
Enrolled Agents Sponsor ID Number: 760

We have entered into an agreement with the Office of Professional Responsibility, Internal Revenue Service, to meet the requirements of 31 Code of Federal Regulations, section 10.6(g), covering maintenance of attendance records, retention of program outlines, qualifications of instructors, and length of class hours. This agreement does not constitute an endorsement by the Office of Professional Responsibility as to the quality of the program or its contribution to the professional competence of the enrolled individual.