Compliance Roundtable for Bank Affiliated Broker-Dealers

Date: 
April 23, 2019 - 2:00 pm to 3:00 pm
Type: 
Webcast
Division: 
Broker-Dealer
Speaker(s): 
Francois Cooke, Managing Director, ACA Compliance Group, Jeffrey Suhanic, Chief Compliance Officer, PNC Investments LLC, Jarrett Jacobs, Chief Compliance Officer, Fifth Third Securities, Inc, Ivan Knauer, Partner, Snell & Wilmer

Please join ACA Compliance Group and the Bank Insurance & Securities Association (BISA) on April 23, 2019 at 2pm EST for a webcast workshop designed to assist compliance professionals of bank affiliated broker-dealers in dealing with both current and unique regulatory challenges. Our industry-knowledgeable panelists will discuss topics relevant to this specific type of firm.

Register to hear from our speakers Francois Cook, Managing Director, ACA Compliance Group; Jeffrey Suhanic, Chief Compliance Officer, PNC Investments LLC; Jarrett Jacobs, Chief Compliance Officer, Fifth Third Securities, Inc; and Ivan Knauer, Partner, Snell & Wilmer.

Discussion topics will include:

  • SEC Best Interest Rule
  • 2019 Regulatory Focus
  • Variable Annuities
  • Anti-Money Laundering