Martin Tuip, Sr Product Manager | Joanna Belbey, Compliance Subject Matter Expert | Dan Nadir, VP, Product Management
Every year, FINRA and the SEC tell broker-dealers exactly what they perceive as heightened risks to the market and investors. In this way, regulators send a clear message of what to expect during exams in the coming year. As a compliance officer, this is the roadmap that sets the tone for your efforts for 2017.
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Joanna Belbey, Compliance Subject Matter Expert, Proofpoint, Dan Nadir, VP, Product Management, Proofpoint and Martin Tuip, Senior Product Marketing Manager will discuss some of the risks spotlighted for 2017:
• Supervision and controls to protect investors
• Suitability, particularly for seniors
• Social media and electronic communications retention and supervision
• Cybersecurity controls
Learn how Proofpoint can help you and your firm meet these and other regulatory challenges in the year ahead. Live Q & A will follow.
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