This session provides an overview of key compliance and risk management areas relevant to financial professionals. Topics include compliance and conduct risk, IT and vendor risk management, trade surveillance, branch and representative examinations, and outside activity monitoring among other areas.
The session also includes a review of recent regulatory exam statistics, current regulatory concerns, and a discussion of final and proposed rules for Registered Investment Adviser firms.
Presented by industry professionals, this session offers insights for financial professionals and advisory firms. To conclude, hear about a web-based solution designed to enhance compliance and risk management for your firm.