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UK University Series - The SEC vs. the FCA Managing a Dual Regulator Compliance Program
UK University Series - The SEC vs. the FCA – Managing a Dual Regulator Compliance Program
 

August 12, 2015

Division
Europe

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group

Speaker: Flavia Anderson, Consultant, ACA Compliance Group

Webcast Discussion Includes:

  • Introduction to the Regulators
  • Registration versus Authorisation
  • Regulations and Guidance
  • Managing a Dual Compliance Programme