Erin Preston
Erin Preston is a legal/compliance professional with 16+ years of experience in performing legal and compliance functions, ensuring adherence to regulatory requirements for brokerage, investment adviser and proprietary trading business lines. Forward-thinking individual with proven ability to critically evaluate, respond to rapidly changing conditions and problem solve. Her background in regulatory adherence for brokerage, investment and proprietary trading lines, includes her designing and implementing a technology governance program, managing real-time trading issues, development of policy and procedure related to compliance oversight, and relevant legal matters in association with the brokerage and the investment advisory business. Prior to joining Wedbush, Erin was the Chief Compliance Officer with nabSecurities and the Associate General Counsel, AML Compliance Officer and CCO for Dash Financial Technologies.
9b. BD - Regulation Best Interest: Where We Are Now (Intermediate - OPEN)