How to Achieve a Sustainable and Scalable Compliance Program in the Wake of Trump’s Presidency
This call will review the nuts and bolts of establishing and maintaining a sound compliance program that can adapt to regulatory change in the wake of Trump’s presidency. Topics to be covered include: new/amended Hedge Fund regulations, what to watch for with Brexit and other European regulations, FINRA 4210 and other margining rules, and how preventing fraud will never go out of fashion, no matter who is in charge.
Robert Akeson, COO of Mirae Asset Securities (USA), will moderate this call. Participants in this call will be Mary Kopczynski, CEO and founder of regulatory solutions company 8of9, and Mitch Avnet, founder, CEO and a managing partner at Compliance Risk Concepts.
Directions to access WebEx for the phone call on 2/28 at 12:00pm (EST).
1) Click here for the meeting URL
2) Add your first and last name to “Your Display Name”.
3) Add an email, and click “Join As Guest”.
4) Click “I Will Call In” on the left side of the screen. This will display the call-in number, access code, and your attendee ID. You can reference the call-in and meeting numbers below, but will need to be logged in to see your attendee ID:
Call-in Number: 415-655-0001
Meeting Number: 199 888 686
Attendee ID: You can find this after logging into WebEx