Join us at the : Yankees vs Marlins Baseball Game on April 10, 2024
Get Invitation
Independent Broker Dealer Consortium


Top 10 Best Compliance Tips for Broker Dealers and RIAs

Date: November 2, 2022
Time: 4:00 pm
Duration: 1 Hour
Where: Zoom Screen From the Comfort and Safety of your home
Past Webinar

Broker Dealers and RIAs are prime targets when a client becomes dissatisfied with the performance of their investments.

Join us on November 2 when our panel of IBDC Alliance members share with you the Top Ten Compliance Tips to put into action in an effort to avoid costly litigation.

Even those clients who you're certain will never sue, may one day be your adversary. So, join us on November 3 for our IBDC Top Ten List of Risk Mitigation Strategies.
Know your product
How and what to communicate when a product fails or the market tanks
What every defense lawyer wants to see in a client file to effectively defend you in an action
How to communicate with regulators
Hire the right rep and advisors...
and much more

Our panel members include:

linkedin facebook pinterest youtube rss twitter instagram facebook-blank rss-blank linkedin-blank pinterest youtube twitter instagram