Download the slides from MyComplianceOffice's last webinar of 2015 with co-hosts Sutherland Asbill & Brennan LLP.

The slides cover topics such as:

  • FINRA enforcement trends and statistics

  • cybersecurity

  • Rule 3a-4

  • AML for RIAs.

The Webinar includes key takeaways from past enforcement cases and look towards what one can expect in 2016.  



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