Managing Compliance During Times of Market Volatility: Staying Ahead of Risk in Unpredictable Markets

Market volatility doesn’t just move prices — it moves risk. And for compliance teams, that means heightened exposure, accelerated decision-making, and increased regulatory scrutiny. 

Join COMPLY’s regulatory experts for a timely webinar focused on how to navigate and manage compliance challenges when markets become unstable. We’ll break down the top areas where risk tends to surge — and provide practical strategies for staying ahead of it all. 

In this session, we’ll cover:

• How to proactively manage Code of Ethics compliance and employee trade activity during turbulent markets
• Strengthening MNPI protection and insider trading controls in real time
• Ensuring compliant electronic communications under pressure
• Meeting suitability, Reg BI, and fiduciary duty obligations with clarity
• Marketing do’s and don’ts when market conditions shift rapidly 

Whether you’re refining existing protocols or preparing your team for the next wave of volatility, this session will leave you better equipped to manage risk and maintain regulatory integrity in even the most unpredictable conditions. 

Please note: 1 IACCP® continuing education credit will be offered for this webinar.