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 last webinar of 2015 with co-hosts Sutherland Asbill & Brennan LLP.
The slides cover topics such as:
FINRA enforcement trends and statistics
AML for RIAs.
The Webinar includes key takeaways from past enforcement cases and look towards what one can expect in 2016.