No
Yes
View More
View Less
Working...
Close
OK
Cancel
Confirm
System Message
Delete
Schedule
An unknown error has occurred and your request could not be completed. Please contact support.
Scheduled
Wait Listed
Personal Calendar
Speaking
Conference Event
Meeting
Interest
There aren't any available sessions at this time.
Conflict Found
This session is already scheduled at another time. Would you like to...
Loading...
Please enter a maximum of {0} characters.
{0} remaining of {1} character maximum.
Please enter a maximum of {0} words.
{0} remaining of {1} word maximum.
must be 50 characters or less.
must be 40 characters or less.
Session Summary
We were unable to load the map image.
This has not yet been assigned to a map.
Search Catalog
Reply
Replies ()
Search
New Post
Microblog
Microblog Thread
Post Reply
Post
Your session timed out.
Meeting Summary
The session has been added to your schedule
The session has been removed from your schedule
 

2019 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:

  • Recent developments in technology, privacy and cybersecurity  
  • SEC’s continued focus on senior and vulnerable investors  
  • New developments in regulation best interest
  • Data in regulation and compliance

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