Join us for this month's BD / IA Compliance Session as guest speaker Lisa Roth shares tips, templates, and other tactics to help your firm cover the topics in FINRA's exam priorities.

This session includes worksheets that will let you take what you learn during the session and immediately apply it to your firm.

This is a must-attend for CCOs, COOs, and anyone else involved in compliance management at a modern securities firm.

Sign up for this webinar to discover tactical approaches to:

  • Off-Site Reviews
  • High-Risk and Recidivist Brokers
  • Sales Practices (Senior Investors, Concentration, Vetting New Products)
  • Cyber Security


Featuring:
May 25th  |  1 p.m. (ET)
Register Now!
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Lisa Roth
President, Monahan & Roth, LLC.
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Scott Gillahan
Sr. Product Manager of Sircon Solutions, Vertafore