5g. BD – Institutional Firms Talk Group


This interactive group discussion will focus on issues such as: identifying conflicts of interest; gifts & entertainment; regulatory priorities; the applicability of suitability standards; remote supervision; and the marketing to institutional accounts, as they relate to Broker-Dealer compliance professionals of institutional firms. Attendees are encouraged to share their experiences and learnings within this talk group. This session is not eligible for continuing education credits.

Intermediate                        Program Level: Talk Group Date: November 9, 2021 Time: 10:00 am - 11:15 am James (Jim) Papagiannis

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