The MyComplianceOffice platform provides a unified approach to Conduct Risk. Identify and mitigate potential conflicts from the activities of employees, third parties and the company.
Download the slides from MyComplianceOffice's June webinar with co-host with Sutherland Asbill & Brennan LLP.
This webinar included a discussion of FINRA’s recent enforcement statistics and trends. Our presenters, Brian Rubin and Andrew McCormick highlighted some key 2016 SEC and FINRA cases and the significance they may have for broker-dealers and investment advisers. Our presenters also discuss litigation and regulatory enforcement issues related to the Department of Labor’s new fiduciary rule.