NYC Broker Dealer, Investment Adviser Compliance Evening Conference
Thursday, May 10, 2012 from 5:00 PM to 8:30 PM (EDT)
New York, United States
When & Where
Broker/Dealer, Investment Adviser Compliance Officers LinkedIn Group
The Broker/Dealer, Investment Advisers Compliance Officers LinkedIn Group is one of the largest non-profit social media networks for compliance and legal professionals on-line. The group consists primarily of securities attorneys and compliance officers from broker/dealer FINRA member firms as well as SEC registered and non-registered Investment Advisers. The member base also includes consulting professionals who specialize in compliance, legal, and regulatory IT vendor services as well as current and former regulators.
Co-hosted by Rosenthal Recruiting and Boston Compliance Associates.