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Independent Broker-Dealer Compliance Roundtable
Independent Broker-Dealer Compliance Roundtable
 

March 24, 2015

Division
Broker Dealer

Speaker: Travis Dragomani, Senior Principal Consultant, ACA Compliance Group

Speaker: John Goselin, Partner, Freeman Mathis & Gary

Speaker: James Downing, Chief Compliance Officer, BMO Harris Financial Advisors, Inc.

Webcast Discussion Includes:

  • New Supervision Rules
  • Risk Management
  • Conflicts
  • Variable Annuities
  • Complex Products
  • CARDS
  • Cybersecurity