From the program: Broker-Dealer and Adviser Regulatory Compliance Forum 2013
Released on: Mar. 6, 2013
Brokerage and advisory firms' compliance programs are under intense regulatory scrutiny. In this program, you will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current regulatory initiatives and recent examination ...