In a repeat of our first Monthly BD / IA Session, we'll be getting tactical on FINRA regulation & exam priorities with Lisa Roth, President of Monahan & Roth, LLC.
This session includes templates and worksheets that will let you take what you learn during the session and immediately apply it in the real world.
This is a must-attend for CCOs, COOs, and anyone else involved in compliance management at a modern securities firm.REGISTER NOW!
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Securities Edition Webinar
Regulatory updates & analyses | Best practices from SILA | IT security & new compliance technology | Must-know topics & events
Insurance Edition Webinar
Regulatory updates & analysis | Best practices from SILA | IT security & compliance risk/producer management technology | Must-know topics & events