Webinar October 9, 2019

Heightened Enforcement on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should Know

Event Detail
Timothy C. Foley
October 9, 2019

Tim Foley will be a panelist for this webinar hosted by The Knowledge Group.

Key topics include:

  • Dually registered broker-dealers and advisers: trends and developments
  • Best compliance practices and obligations
  • Risks and pitfalls
  • Opportunities and challenges
  • Future implications and outlook

For more information, click here

Meet the Speaker
Media Contacts
Nicholas Clarke
Senior Communications Manager
Phone: 212.210.1222
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