IA Watch*

04/16/19 @ 2:00 pm – 3:00 pm – One of our Managing Directors, Jill Grenda, spoke on a webinar panel with the theme, Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs. We will link to the recorded webinar once available.      

Financial Markets Association Conference

05/01/19 – 05/03/19 @ All Day – Our President and CEO, Matt Hardin, is speaking at this conference. This seminar focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants, and program discussions and workshops are structured for peer-to-peer learning. Open discussion is encouraged […]