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Consideration and Practices for Supervising Independent Contractors

SKU: FR7100
Total Credits
1
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program provides guidance on supervising independent contractors. This panel of FINRA staff and industry members addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance, and shares effective industry practices.

After attending this session, you will be able to:

  • Understand the risk associated with supervising independent contractors.
  • Identify effective practices for supervision and oversight of independent contractors.
  • Review cybersecurity policies, procedures and oversight processes for independent contractors

Lecturer Bios

Elizabeth Page

Elizabeth Page is the Vice President and Director of FINRA’s Boston District office. In this role, she is responsible for the regulatory programs that oversee the FINRA firms and registered representatives within New England and portions of Canada and Europe. Prior to her position in Boston, Ms. Page was the Deputy Director in the FINRA’s Chicago District office and has served in a variety of staff and management roles including managing and conducting onsite examinations of the main offices and branches of FINRA firms, investigations of customer complaints and terminations for cause and applications for membership. Ms. Page has a Bachelor degree in Finance and a Master of Business Administration degree from the University of Denver.

Bridget McNamara-Fenesy

Bridget McNamara-Fenesy is President and CEO of M Holdings Securities, Inc. (M Securities). Prior to this position, she was Vice President, Legal, Regulatory, and Governance Affairs for M Securities where she was responsible for risk, compliance, legal, and regulatory activities for the company. Ms. McNamara-Fenesy has been a part of the financial services industry for more than 30 years, including 15 years as an independent consultant, working with a variety of financial service firms, in such varied areas as strategic planning, new business development and implementation, regulatory issues, marketing strategies, and succession planning. Ms. McNamara-Fenesy earned her BA in Psychology from the University of Notre Dame, her JD from the University of Denver Sturm College of Law, and her Certified Employee Benefits Specialist (CEBS) certification from the Wharton School of Business.

John Hagberg

John Hagberg has been with Commonwealth since 2000 and currently serves as the Vice President of compliance for the firm. In this role, he oversees all aspects of the firm’s registration, branch examination, and advertising functions. Additionally he oversee the firm’s compliance consulting team, which serves as the front line resource for providing common sense compliance advice for advisors and internal staff on regulatory matters. Mr. Hagberg served on the FINRA committee responsible for developing the content for the operations professional examination and was previously a board member with Securities and Insurance Licensing Association (SILA). He is a graduate of Bates College, where he received his degree in environmental studies. He currently holds FINRA Series 4, 7, 24, 31, 53, and 66 securities registrations and his CRCP™ designation.

Jacob Palmer

Jake Palmer is currently Chief Operating Officer of SWBC Investments in San Antonio, Texas, and has more than 20 years of experience in the financial services industry. In this role, he is responsible for the direction and leadership of the firm's compliance, operations and fixed income departments. Mr. Palmer began his career in the financial services industry in 1992, selling investment products for USAA, a large insurance and financial services company based in San Antonio, Texas. He has held various management positions in the areas of sales, training and compliance. In 2007, Mr. Palmer joined the SWBC Investment Services team as the chief compliance officer before moving to his current role in 2013. Mr. Palmer is a past District Committee member of FINRA’s District 6 and has served on various non-profit boards, including the San Antonio Youth Centers.



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