Compliance and Legal Society San Francisco Regional Seminar

Compliance and Legal Society Regional St. Louis Seminar

August 3, 2017
Charles Schwab – 211 Main Street, San Francisco, CA 94105

  • Industry members$150
    Counsel members$250
    Special members$250
    Non-member -  $450
    Regulators -  $50
Register ›  

Join us at the C&L Society Regional Seminar on August 3 hosted at the Charles Schwab in San Francisco. This one day seminar will feature presentations by leading securities regulators and industry professionals. The Charles Schwab Center is located at 215 Freemont Street, San Francisco, CA 94105.

Discussion topics will include:

  • Regulatory Update
  • Compliance Considerations for the Senior Investor
  • Current Issues for Dual Registrants
  • Litigation & Arbitration: Update & Trends
  • Implementing Effective Risk Management

Our Sponsors

 Sponsors 537

Compliance & Legal Society 

Contact Information

C&L Society

Diana Serri (212.313.1258)

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