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

April 28, 2015

Division
Broker Dealer

Speaker: Tammy Tam, Principal Consultant, ACA Compliance Group

Speaker: David Porteous, Partner, Faegre Baker Daniels

Speaker: Jeff Suhanic, Chief Compliance Officer, PNC Investments, LLC

Webcast Discussion Includes:

  • Regulatory jurisdictions
  • Risks with employees wearing multiple hats
  • Supervision
  • Training