Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
9/12/2019
It’s no secret that the self-regulatory organizations developing the Consolidated Audit Trail have missed a slew of milestone completion dates (BD Wat...
9/12/2019
Concerns about the protection of personally identifiable information included in the Consolidated Audit Trail has long been an issue for regulators an...
9/05/2019
Deficient trading reviews conducted by an inexperienced and untrained compliance associate has led to SEC charges that a New York-based broker-dealer ...
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