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
- 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 firstname.lastname@example.org.