Chicago Broker-Dealer Compliance Roundtable

Date: 
July 24, 2018 - 4:09 pm
Type: 
Roundtable Speaking Engagement
Division: 
Broker-Dealer
Location: 
Chicago, IL
Speaker(s): 
Francois Cooke, ACA Compliance Group; Stephen Berkeley, Loop Capital Markets LLC; Andrew Blake, Sidley Austin; Hardy Callcott, Sidley Austin; Deirdre Patten, Patten Training; Ken Wagner, William Blair & Company, L.L.C.

On July 24, 2018, ACA and Sidley Austin will offer a broker-dealer focused seminar for in-house counsel and compliance officers. In this seminar, expert panelists from FINRA, Sidley, ACA and the industry will discuss topics relevant to the regulatory requirements unique to broker-dealers.  

At the Chicago Broker-Dealer Compliance Roundtable, our panelists will discuss the latest regulatory developments affecting broker-dealers.

For more infortmation or to register please contact Dee Stafford at dstafford@acacompliancegroup.com.

 

Sponsors: 

Sidley Austin