Presenter, “Independent Broker-Dealer Compliance Roundtable,” ACA Compliance Webinar

Presenter, “Independent Broker-Dealer Compliance Roundtable,” ACA Compliance Webinar

Event Date(s): 05/14/2019

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