FINRA's 2015 Annual Conference took place in Washington, DC, May 27 – 29. The 2015 conference was designed to help participants—both seasoned compliance veterans. Tod Sawicki and Mel Gworek participated in this conference. Tod was a featured speaker during the session "Identifying Conflicts. " This session explored the common. Home / Kaufman Rossin Blog / Banking / What Broker-Dealers Can Learn from FIBA’s AML Compliance Conference. Conference, broker-dealers who. Regulatory Compliance National Compliance Conference. Where he concentrated in the areas of broker-dealer compliance/regulation. Regulatory Rules Barry Goldsmith FINRA and SEC Compliance in the Use of Social Media S ocial media comes into play at many stages of a conference or program. Speech by SEC Staff: Remarks Before The National Regulatory Services Investment Adviser and Broker-Dealer Compliance/Risk Management Conference. Battle-tested Strategies for Meeting the Demands of a Compliance Revolution May 16–18, 2012 Colonial Williamsburg, Virginia Investment Adviser. For 31 years, investment adviser and broker-dealer compliance professionals have been attending NRS Compliance Conferences to learn from industry experts about the. Each year ACA sponsors a number of conferences, LLC, Adviser Compliance Associates, LLC, Broker-Dealer Compliance Associates, LLC,. WHITE PAPER ON THE ROLE OF COMPLIANCE. Focuses on the role of the Compliance Department within a broker-dealer. Fund Compliance Programs Conference. Candidates that achieve the CSCP credential will have successfully demonstrated expertise of both broker-dealer and. Regulatory Compliance is a securities compliance consultant service specializing in services for Securities Broker Dealers, Registered Investment Advisors. Each regional program will provide a forum for regulators and industry professionals of broker-dealer. The 2015 National Compliance Outreach Program for Broker. Ascendant Compliance Manager (ACM) is a robust and comprehensive application designed to assist compliance professionals to better manage compliance functions. Remarks by SEC Chief of Staff Andrew Donohue to the 30th annual NRS investment adviser and broker-dealer compliance conference. 2014 Onevoice FSI Broker-Dealer Conference January 27 - 29, 2014 Newark, Washington DC. The FSI Broker-Dealer Conference, hosted by Financial Services Institute, Inc. Ascendant Compliance Management is a leader in the compliance and regulatory services industry, offering personalized, comprehensive compliance services for firms in. Morgan Lewis partner Jennifer L. Klass will be part of the panel discussion at the NRS Investment Adviser and Broker Dealer Compliance Fall Conference. Broker-Dealer Accounting Conference 2016. Setting the Tone: The State of Financial Reporting & Compliance in the Brokerage Industry. Investment companies, and broker-dealers. ACAMS 15th Annual AML & Financial Crime Conference. The Independent Broker Dealer Consortium, “IBDC”, was created in 2007 with the first annual risk management conference, which addressed, and continues. Investment Adviser And Broker Dealer Compliance Conference will be held in Fort Lauderdale, USA starting on 05th May, 2015. This Conference is a 3 day event and will.

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