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CRITICAL INFORMATION YOU WON’T WANT TO MISS!

Financial professionals are invited to attend our FREE half day seminar on critical issues affecting broker/dealers, registered investment advisors and wealth managers.    

Help your firm survive and thrive by learning what you’ll need to know about:  

  • Red Flag rules effective November 2013
  • Hot FINRA topics
  • Fiduciary responsibility
  • Private placement rules
  • Custody rules

The seminar will be in person and streamed online.  

 

Tickets available until Friday, October 18th. 

 

Meet our Speakers

Panelists include experienced professionals from Breard & Associates, Inc, (CPA’s) Regulatory Maven (compliance specialists), and Day Pitney, LLP (attorneys). 

Also featured will be a former CEO who has worked with capital markets in successfully launching three startups in the financial services industry, as well as an insurance broker specializing in cyber and fiduciary liability.