Conquering Current Compliance Challenges
Sept. 11, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 12, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
8/15/2019
In a potentially worrisome case for compliance officers, the SEC found that the former CCO of Merrimac Corporate Securities had violated FINRA rules b...
8/15/2019
The SEC Aug. 15 released a series of videos aimed at educating retail investors on the differences between investment advisers and broker-dealers in a...
8/15/2019
There’s no mistaking that the protection of senior investors remains a top priority for FINRA. At the start of the year, the SRO flagged the protectio...
© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US