Webcast workshop designed to assist compliance professionals of independent broker-dealers in dealing with both current and unique regulatory challenges. Our industry-knowledgeable panelists will discuss topics relevant to this specific type of firm.
Discussion topics include:
- Reg BI and State Fiduciary Activity
- Cybersecuity
- Sales to Seniors/Vulnerable Adults
- Supervision
- 529 Sweep
Event Link: https://www.acacompliancegroup.com/events/webcast/independent-broker-dealer-compliance-roundtable-0
