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