Material Mega Menu - Responsive

Introduction

Introduction

 

 You can download a full copy of the slides from this webinar. 

 

Download

 

Interested in learning more about G&E Compliance?
Download our whitepaper; 'How to Build a Strong Gifts, Entertainment & Hospitality Program'.

 

Full video transcript available below:

 

Hello, everyone, and welcome to today's webinar, hosted by me, Joe Boyhan of MCO and Jennifer Lin, partner and head of compliance group at DLA.

Today's webinar is titled, "Best Practices to Keep your Firm SEC and FINRA Compliant this Season." The slides and recording will be emailed to all registrants after the session. 

Now, I'm delighted to introduce you my co-host. Jennifer Lin is a partner at DLA and heads the firm's compliance practice. She has over 15 years of compliance experience in the securities industry and is an expert servicing broker dealers and investment advisors. Jennifer's broad securities compliance experience provides extensive expertise in securities regulations and the execution, analysis, testing, and evaluation of the supervisory and internal controls of the compliance program.

 
 

Thank you, Joe. Thank you, everyone, for joining us today for this webinar. 

You know, with the holiday season upon it, now is always a good time to remind your employees of your gifts and entertainment policy and how to avoid conflicts of interest. 


 

This webinar was co-hosted with www.dlallc.com

Find out how MCO can help

Request a demo today to learn how MyComplianceOffice puts you in command of your compliance program, synchronizing your business needs with regulation. 

Request a Demo

 

MCO_brochure-image.png

Download our four page Portfolio of Solutions to learn about;

  • Personal Trade Monitoring
  • Gifts & Entertainment
  • Political Contributions
  • Third Party vendor risk management
  • Trade surveillance
  • And more

Brochure Download