Don’t miss our coverage of the most relevant compliance topics!
Emerging Regulatory Issues Keynote Panel
Find out how compliance professionals are addressing key issues such as ESG, cannabis and various retirement topics in light of regulatory priorities from FINRA, SEC and DOL.
Don’t Miss These Breakout Sessions:
- Proposed Amendments and Practical Applications to the Advertising Rules
- Legally but Ethically Questionable Situations
- Fundamentals of Compliance Testing
- Working with Stakeholders
- Regulation Best Interest for Broker Dealers and Dual Registrants
- Risk Mitigation and the Management of Third-Party Vendors
- Understanding the Requirements of ADV Part 3
- Cross Border Regulations
- Conflicts of Interest
- Advanced Risk Management of Data Privacy and Cybersecurity
Save $40 by also registering to attend the NSCP Regulatory Interchange on April 21st in the same location!