Tuesday, May 13, 2014 - Thursday, May 15, 2014 |
01:00 AM Eastern Daylight Time |
The NRS Investment Adviser and Broker Dealer Compliance Spring Conference will explore what organizations need to do to develop the most effective compliance programs and explore key topics including regulation, training, ethics, damage control, risk management, pay to play, trading practices, examinations, marketing, AML, identity theft requirements, ERISA.
Jen Klass will be speaking on a panel on Wednesday May 14 at 2.30pm: Update on Social Media Compliance