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2017 Investment Management Compliance Testing Survey Results Webcast
2017 Investment Management Compliance Testing Survey Results Webcast
 

June 8, 2017

*Please Note: The C3 Coupon Code does not apply to this event*

Division
Investment Adviser

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group

Speaker: Sanjay Lamba, Associate General Counsel, Investment Adviser Association

Speaker: Amy Yuter, Deputy Chief Compliance Officer, Old Mutual Asset Management


Webcast Discussion Includes:

  • Branch Office Supervision
  • Use of Automation
  • Fees and Expenses
  • Wrap Programs
  • Whistleblowing
  • Business Continuity and Transition Planning
  • New Regulations
  • International Regulation (MiFID II)