If you missed our Ascendant Compliance Conference in Scottsdale, or if you were able to attend and want a quick recap of the important topics to share with your firm, we summarize the key points raised by the knowledgeable panelists, speakers, and industry experts at the conference. What are the top 5 deficiencies cited in examinations? What are the top 10 controls for insider trading that you can implement as part of your compliance program? We’ll highlight these key points, as well as issues raised by our panels on ethics, social media, IT controls, and more.
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- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
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