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FINRA Hot Topics for 2016
FINRA Hot Topics for 2016
 

February 23, 2016

Division
Broker Dealer

Speaker: Thomas Grygiel, Principal Consultant, ACA Compliance Group

Speaker: Ivan Knauer, Partner, Pepper Hamilton LLP

Webcast Discussion Includes:

  • Sales charge waiver/discounts
  • Suitability and concentration: excess concentration in high-risk products
  • AML controls: suspicious activity and microcap securities
  • Outside business activities and private securities transactions
  • Culture, conflicts of interest, and ethics