Independent Broker-Dealer Compliance Roundtable
Date
Time
Location
Your desk!
Type
Webcast
Please join ACA 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.
Discussion Topics:
- Reg BI and State Fiduciary Activity
- Cybersecuity
- Sales to Seniors/Vulnerable Adults
- Supervision
- 529 Sweep