Broker-Dealer Compliance Part IV: Constructing a Supervisory and Compliance Program

This program is the fourth of four segments led by K. Susan Grafton, leader of Dechert LLP's Broker-Dealer, Securities and Trading Markets product line, exploring key regulatory issues applicable to broker-dealers. This segment will focus on building supervisory controls and compliance procedures. Among other things, this segment will discuss establishing appropriate supervisory reporting lines, procedures for addressing potential compliance issues, and considerations related to self-reporting.  

Part IV of the series will discuss developing and implementing a broker-dealer's supervisory and compliance program.

Learning Objectives:

1. Examine key elements of a broker-dealer's supervisory and compliance program
2. Develop a framework for dealing with potential compliance issues
3. Analyze self-reporting of violations