ARTICLE
2 May 2020

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

JD
Jones Day

Contributor

Jones Day is a global law firm with more than 2,500 lawyers across five continents. The Firm is distinguished by a singular tradition of client service; the mutual commitment to, and the seamless collaboration of, a true partnership; formidable legal talent across multiple disciplines and jurisdictions; and shared professional values that focus on client needs.
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...
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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 wsleight@jonesday.com.

DISCUSSION LEADERS

  • Sergio Alvarez-Mena, Miami
  • Peggy Blake, Washington
  • Michael Butowsky, New York
  • Michael Fischer, Frankfurt
  • Philippe Goutay, Paris
  • Steve Obie, New York
  • Laura Pruitt, Washington

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

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