November 10, 2016
*Please Note: The C3 Coupon Code does not apply to this event*
Division
Investment Adviser
Speaker: Danielle Joseph, Senior Principal Consultant, ACA Compliance Group
Speaker: Brian Lattanzio, Senior Compliance Analyst, ACA Compliance Group
Webcast Discussion Includes:
- Compliance Rule Program
- Custody and Safekeeping of Client Assets
- Personal Trading
- Anti-Money Laundering
