Like many in compliance, chances are that you're not prepared for new SEC and FINRA data driven exams, which promise a vastly more automated approach to compliance. With a stated goal of exams every two years for firms like yours, it's not "if" but "when" you'll face a more thorough exam than ever before.
Despite these changes, many in compliance are relying on outdated tools and processes such as spreadsheets or mock exams for investment operations, providing a false sense of security. It's more important than ever to have a comprehensive and likely more automated approach to compliance.
This seminar provides actionable insights as to what measures your firm should take to assess its readiness and adapt its compliance operations. Best practices and proposed solutions will be discussed and some Congressional leaders have announced plans to repeal or replace Dodd-Frank. We will discuss the actions taken by the President and Congress to date and implications for future changes to the Dodd-Frank legislation.
Presented by:
Tony Turner - Principal, Financial Tracking Continuing
Education Credit:
This program is pending CLE credit approval in the state of Tennessee.
RSVP to attend by Thursday, March 23