FrontLine’s Founder and President Amy Lynch is a featured speaker at NSCP’s 2020 National Compliance Conference, to be held as a virtual event, October 19-21. On October 20th, Ms. Lynch will offer her expertise as part of a three person panel that will discuss best practices and requirements to ensure trade compliance for institutional asset managers, investment advisers, private funds, and investment companies. In the session “Trading Compliance Issues,” she will address best execution, trade errors, trade allocation, side-by-side management, principal and cross trades, as well as monitoring for the use of material non-public information (MNPI) and expert networks. Ms. Lynch will also highlight certain challenges for CCOs and compliance staff in the remote work environment, and how to maintain oversight through trade compliance systems, and effective remote communication and training.
View more details on the session “Trading Compliance Issues (Intermediate)”
Register for the “2020 NSCP National Conference (Virtual Conference)”
