2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators
29 Sep 2016
Webinar
Description
Topics
FINRA Priorities
US Securities and Exchange Commission Priorities
Implementing the Priorities
Discussion on State Regulator Priorities
Background on the Priorities
Effectively Communicating the Priorities
Who should Attend
Attendees from:
Investment Management
Financial Advisory
Financial Audit
Financial Compliance
Financial Risk Management
Past Events
2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators - 29 Sep 2016, Webinar (62460)
Important
Please, check "Financial Regulator Priorities - SEC, FINRA, and State Regulators" official website for possible changes, before making any traveling arrangements
