Juggling Compliance Risks – Maintaining the Balance
New York, NY 10019
Joshua Horn and Ernest E. Badway will be keynote speakers at the 2016 NSCP Spring Compliance Conference in New York.
Joshua and Ernest will address current compliance issues, risks and compliance officer liability. Attendees will receive helpful tips and tools for managing regulatory and business risks, as well as recommendations for maintaining a well-rounded compliance program.
Session offerings during this conference will include:
- Enforcement Issues and Trends
- Conflicts of Interest
- CCO Liability
- Risk Management
- Anti-Money Laundering
- Supervision and Oversight
- Due Diligence of Third Parties
- BD, IA and PF Discussion Forums
Register for the event here.