About This Course
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