Join IBDC-RIAC Alliance Members for a frank discussion about what FINRA and the SEC are focusing on during their firm audits and investigations in 2021.
Cybersecurity Risks
OBAs and PSTs - Including PPP loans received by reps/advisors
Communications and Sales - Including emerging digital communication risks
Private Placement Sales
Reg BI Compliance and Form CRS
Variable Annuities Sales Practices
Handling Senior and Compromised Clients
Discussion of Claim Trends
What do firms need to do to protect themselves against litigation and/or regulatory investigations?
SPEAKERS FOR THIS PRESENTATION ARE IBDC-RIAC ALLIANCE MEMBERS:
If you would like to join IBDC-RIAC Alliance Members at May 18, 2026 Yankees vs. Toronto Blue Jays baseball game at Yankee Stadium at 7:05 PM, please complete the form to request your invitation.
