Compliance and Legal Society San Francisco Regional Seminar
August 1, 2013
San Francisco, CA
This one day seminar will feature presentations by leading securities regulators and industry professionals.
Topics Include:
- AML - New trends and areas of focus
- Arbitration & Litigation Update
- "Where was Compliance?" - Keeping up with changing and conflicting priorities
- KYC & Suitability - Institutional & retail post implementation experiences
- Regulatory Priorities