Compliance Current Affairs
In this segment from the MyComplianceOffice December Webinar, co-hosted by Sutherland Asbill and Brennan, LLP, Andrew McCormick discusses resolutions to avoid FINRA fines in 2016.
Andrew is an Associate in Sutherland's Securities Enforcement and Litigation Team. Andrew regularly represents broker-dealers and investment advisers in investigations, enforcement actions, and civil litigation.
You can download a full copy of the slides from this webinar.