Speaking Engagement: Best Practices for Adapting to Regulatory Notices (Broker-Dealers and Municipal Advisors)
Join Brandon Klerk, founder of Halyard Compliance, at the NSCP National Conference in October for an engaging discussion and overview of the SEC, FINRA and MSRB regulatory notices. Come and hear how firms are finding solutions and responding creatively to stay compliant and evolve compliance and risk programs.
Learning Objectives:
• Hear an overview of recent SEC, FINRA and MSRB regulatory notices and guidance
• Share how other firms are implementing regulatory notice requirements and guidance to stay current; including trusted contact rules.
• Learn about pending rule-making and further guidance released to help comply
• Receive pointers for compliance manuals and written supervisory procedures enhancements
