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Compliance Roundtable Webcast for Bank-Affiliated Broker-Dealers
Compliance Roundtable Webcast for Bank-Affiliated Broker-Dealers
 

March 1, 2016

Division
Broker Dealer

Speaker: Tammy Tam, Principal Consultant, ACA Compliance Group

Speaker: Brian Rubin, Partner, Sutherland Asbill & Brennan

Speaker: Paul Mann, Chief Compliance Officer, FTB Advisors, Inc.

Webcast Discussion Includes:

  • CCO Liability
  • Elder Financial Abuse and diminished client capacity issues
  • Non-traditional (alternative) fund due diligence and supervision
  • Surveillance:
    • Mutual funds and variable annuities, especially direct business
    • Brokerage accounts