Regulatory reform that followed the financial crisis of 2008 has bees been extensive. The financial services industry now follows some of the most prescriptive and stringent regulations in the world. These regulations all have one goal in common; to ensure that financial services organizations play by the rules to ensure fair transactions and protection of customer information.
Join us while Joanna Belbey, Compliance Subject Matter Expert and Forbes Contributor, Actiance provides an overview of this regulatory environment. Learn about:
• Calls for Culture of Compliance
• FINRA 2016 Exam Priorities
• Securities and Exchange Commission rulings
• Recordkeeping and Supervision requirements
• Dodd Frank
• MiFID II
Watch the on demand webinar now!