Skip to main content

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