SIFMA Charlotte Regional Seminar
Join us for another C&L Society Regional Seminar on September 24 at the Ritz-Carlton in Charlotte, North Carolina. This one day seminar will feature presentations by leading securities regulators and industry professionals.
Protiviti Director, Tom McQuade will participate in an industry panel focusing on cross over issues between the bank and broker dealer and particularly impact of bank regulations on the offering of bank products through the broker dealer channels.
- Hot Topics in Securities Enforcement
- Intersection of Banking and Wealth Management
- Privacy and Cybersecurity Issues
- Litigation & Arbitration
- CCO Roundtable
- Hot Topics in AML and OFAC Compliance