Kendall Houghton and Ethan Millar were speakers at this event hosted by UPPO.
Kendall Houghton lead a discussion titled “Industry Focus: Securities Compliance.“ Explore hot compliance issues for holders in the securities industry, including unique dormancy triggers, due diligence requirements (including SEC 17 Ad-17), and report and delivery considerations.
Ethan Millar lead a discussion titled “Legislative and Litigation Update.” Following a busy year in state houses and court rooms nationwide, get a recap of 2017's most relevant activity.
For more information click here.
Kendall Houghton lead a discussion titled “Industry Focus: Securities Compliance.“ Explore hot compliance issues for holders in the securities industry, including unique dormancy triggers, due diligence requirements (including SEC 17 Ad-17), and report and delivery considerations.
Ethan Millar lead a discussion titled “Legislative and Litigation Update.” Following a busy year in state houses and court rooms nationwide, get a recap of 2017's most relevant activity.
For more information click here.