Independent Broker Dealer Compliance Roundtable

Date: 
April 25, 2018 - 2:00 pm to 3:30 pm
Type: 
Webcast
Division: 
Broker-Dealer
Speaker(s): 
Thomas Grygiel, Principal Consultant, Kevin Larson, CCO with Cetera Investment Services LLC, Melinda Wolfe, CCO with Kovack Securities Inc.

Please join ACA Compliance Group on April 25, 2018 at 2pm EDT for a webcast workshop designed to assist compliance professionals of independent 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 Thomas Grygiel, Principal Consultant, ACA Compliance Group; Kevin Larson, Chief Compliance Officer, Cetera Investment Services LLC; and Melinda Wolfe, Chief Compliance Officer, Kovack Securities Inc.

Discussion topics may include: 

  • Senior Investors/Vulnerable Investors
    • Concentration
    • Complex Products
  • Onboarding and supervision of high risk brokers
  • Outside Business Activity and Private Securities Transactions
  • AML – transactions and wire surveillance and reporting suspicious activity
  • Cybersecurity and independent branch offices

To register for this webcast please contact Dee Stafford at dstafford@acacompliancegroup.com.