District 9 - Half-Day Compliance Bootcamp Agenda

Baltimore, MD
September 17, 2019

8:00 a.m. – 8:30 a.m.

Registration

  • Continental breakfast

8:30 a.m. – 8:45 a.m.

Introduction

  • Welcome Remarks

8:45 a.m. – 10:45 a.m.

Session 1 – Social Media and Digital Communications Compliance

  • Discuss the content and supervision standards that apply to all electronic communications
  • Discuss guidance about social media sites and third-party information
  • Discuss case studies

10:45 a.m. – 11:00 a.m.

Break

11:00 a.m. – 1:00 p.m.

Session 2 – Outside Business Activities and Private Securities Transactions

  • Review key requirements of the rules related to outside business activities and private securities transactions
  • Discuss considerations for compliance

1:00 p.m. – 1:30 p.m.

Lunch and Networking Opportunity

1:30 p.m.

Adjourn