Join the Corporate Actions Section for our annual DTCC Seminar, covering the latest updates in operations, tax, product enhancements and…
With the February implementation deadline fast approaching, join SIFMA for a Senior Investor Protection Seminar to take a deep dive into FINRA rules 2165 and 4512. Industry experts and regulators will gather to review these new rules, which will provide firms with a safe harbor for temporarily holding suspect disbursements and requires firms to attempt to collect trusted contact information from all their clients. During this half-day program, participants will have the opportunity to analyze the new rules and discuss the various implementation strategies of firms of all sizes and business models. Participate in-person or via webinar.
March 28, 2018
Join the FMS for a fundamental training, where participants can hear from industry participants on the following topics: Discover the…
April 10, 2018
In 2018, prevalent and emerging risks are creating a significant impact across the securities and financial services industries. Some of…