ByAllAccounts November 12 Webinar provides an update on FINRA Compliance Outlook and Best Practices

By ByAllAccounts, Webinar Series on Thursday, October 30th, 2014

Join us for this insightful session on trending topics and critical issues that will impact broker dealers in 2015

Featured Speakers:

  • Todd Cipperman, Founding Principal, Cipperman Compliance Services
  • Kathy VanNoy-Pineda, EVP and compliance counsel, Governance, Risk, and Compliance, LPL Financial


  • Karla Paxton, Client Engagement Manager, ByAllAccounts

Date: Wednesday, November 12, 2014

Time: 2:00PM – 2:45PM Eastern

What will be the critical compliance issues for broker dealer advisors in the year ahead? Hear from two of the industry’s top experts as they provide their unique insights and perspectives on top-of-mind topics for advisors, including:

  • Comprehensive Automated Risk Data System (CARDS)
  • Consolidated Supervisory Rule
  • Suitability Standard
  • Consolidated Statements

Join us for an opportunity to gain critical knowledge on staying compliant and best practices for broker dealers in 2015. This is a must-attend session for anyone in a compliance, operations, or a supervisory management role.

You’ll walk away with:

  • A clearer vision of what will be on the minds of FINRA regulators
  • What you need to know and how best to stay ahead-of-the-curve on importance issues
  • Best practice solutions and advice that you can share with your team

Don’t miss this interactive 45-minute webinar that will provide you with critical knowledge on understanding these essential compliance issues.

comments powered by Disqus