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.