Daniel Nathan will be participating in a panel entitled “Broker-Dealer Compliance and Practical Applications” at the NSCP’s National Conference. The conference will be held at the Gaylord National Harbor Reosrt & Convention Center in National Harbor, MD between November 1st-4th. Among topics the panel will discuss are:
- Compliance role in the firm: compliance vs. supervision, how not to be a supervisor
- Documentation – when is it too much?
- Policies and procedures (maintaining, monitoring, reporting, and recordkeeping)
- Resources (people, technology, seminars, websites, networking, etc.)
- Managing regulatory relationships
For more information on this event, click here.