June 8, 2017
*Please Note: The C3 Coupon Code does not apply to this event*
Division
Investment Adviser
Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group
Speaker: Sanjay Lamba, Associate General Counsel, Investment Adviser Association
Speaker: Amy Yuter, Deputy Chief Compliance Officer, Old Mutual Asset Management
Webcast Discussion Includes:
- Branch Office Supervision
- Use of Automation
- Fees and Expenses
- Wrap Programs
- Whistleblowing
- Business Continuity and Transition Planning
- New Regulations
- International Regulation (MiFID II)