Seminar October 13-15, 2015

NRS 30th Annual Fall Investment Adviser & Broker-Dealer Compliance Conference

Event Detail
Theodore J. Sawicki
October 13-15, 2015
San Diego, CA

Tod Sawicki and Mel Gworek participated in this conference. 

Tod was a featured speaker during the session "Identifying Conflicts." This session explored the common examples of conflicts of interest recently recorded by IAs. The speakers identified examples of risks and conflicts of interest all compliance professionals should be aware of, including Soft Dollars and Pay to Play.

Mel was a featured speaker during the session "Cover Ups, Whistle-Blowers, Self-Reporting and Remediation," October 14, 1:30pm-3:00pm. This session explored the recent cases of high profile cover ups, whistleblowers, self-reporters and remediation. Are trends appearing? Is the system working? What do compliance professionals need to be aware of?

For more information, please click here.

October 13-15, 2015
Hilton San Diego Resort / San Diego, CA

Meet The Speakers
Media Contacts
Nicholas Clarke
Senior Communications Manager
Phone: 212.210.1222

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