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Forensic Testing for Small to Mid-Sized Advisers Part 2
Forensic Testing for Small to Mid-Sized Advisers Part 2
 

July 28, 2015

11:00 am EST

Division
Investment Adviser

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group
Speaker: Kimberly Daly, Senior Principal Consultant, ACA Compliance Group
Speaker: Jeffrey Ziesman, Partner, Bryan Cave


Webcast Discussion Includes:

  • Code of ethics compliance
  • Marketing and other public communications
  • Regulatory filings
  • Reviews of electronic communications