Independent Broker-Dealer Compliance Roundtable

Date: 
May 14, 2019 - 2:00 pm to 3:30 pm
Type: 
Webcast
Division: 
Broker-Dealer
Location: 
Speaker(s): 
Tom Grygiel, Principal Consultant, ACA Compliance Group, Meghan Carey, Partner, Murphy & McGonigle, Carol Bell, Deputy Chief Compliance Officer, Cetera Investment
Cost: 
Price: 
0.00

Please join ACA Compliance Group on May 14 at 2pm ET 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.

Join us to hear from our speakers Thomas Grygiel, Principal Consultant, ACA Compliance Group, Meghan Carey, Partner, Murphy & McGonigle, and Carol Bell, Deputy Chief Compliance Officer, Cetera Investment Services.

Discussion topics include:

  • Reg BI and State Fiduciary Activity
  • Cybersecuity
  • Sales to Seniors/Vulnerable Adults
  • Supervision
  • 529 Sweep
Sponsors: