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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¬†

Meet the speakers

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