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 December webinar with co-host Brian Rubin and Adam Pollet of Sutherland Asbill and Brennan LLP, 'SEC & FINRA Enforcement Actions: Will 2016 "Trump" 2017?'.
In it we looked back at the top FINRA & SEC enforcement actions from 2016, some key cases and some predictions for the securities industry in 2017