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Institutional Challenges
Institutional Challenges
 

April 7, 2015

Division
Broker Dealer

Speaker: Francois Cooke, Managing Director, ACA Compliance Group
Speaker: John Crowe, Chief Compliance Officer, Evercore Group, LLC
Speaker: Edward Balsman, Chief Compliance Officer, Tudor, Pickering, Holt & Co. Securities, Inc.
Speaker: Brandon Klerk, Chief Compliance Officer, Incapital LLC


Webcast Discussion Includes:

  • Conflicts and the Control Room Function
  • Due Diligence Documentation and Supervision
  • Trade Monitoring
  • Research Challenges (including Trading desk Research)
  • Development of Risk Management Programs