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