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2015 Broker-Dealer Best Practices Survey Results
2015 Broker-Dealer Best Practices Survey Results
 

August 11, 2015

Division
Broker Dealer

Speaker: Francois Cooke, Managing Director, ACA Compliance Group

Speaker: Donald McElligott, Vice President, Global Relay

Speaker: Lisa Crossley, Executive Director, NSCP

Speaker: Alan Wolper, Partner, Ulmer & Berne

Webcast Discussion Includes:

  • What risk-based parameters are firms adopting?
  • What type of training are firms offering for complex products?
  • How do broker-dealers remediate problems found during branch office inspections?
  • How are broker-dealers addressing cybersecurity?