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Compliance Update: Protecting Your Firm in a Complex Environment

Session Speakers
Session Description

Why Attend
Stay on top of the latest regulatory changes and issues to manage compliance and safeguard your firm.

Session Details
As the regulatory oversight environment continues to evolve, advisors must keep abreast of changing conditions to manage compliance risk. Learn about the latest developments and what to watch for, including:

  • New SEC Form ADV and record-keeping requirements in effect as of October 2017
  • Recent exam alerts
  • Developments at the SEC
  • Enforcement actions against advisors

Additional Information
CIMA-1.5 hrs, CPE-1.5 hrs, CE-1.5 hrs
Education Session
1h 15m
Session Schedule