We cordially invite you to attend the SIFMA Compliance & Legal Society San Francisco Regional Seminar to be held at Charles Schwab on Thursday, August 1st, 2013. This one day seminar will feature presentations by leading securities regulators and industry professionals.
TOPICS INCLUDE:
- AML – New trends and areas of focus
- Arbitration & Litigation Update
- “Where was Compliance?” – Keeping up with changing and conflicting priorities
- KYC & Suitability – Institutional & retail post implementation experiences
- Regulatory Priorities
August 1, 2013
Charles Schwab – 211 Main Street, San Francisco, CA 94105
Industry members – $ 150
Counsel members – $ 250
Special members – $ 250
Non-member firms – $ 450
Regulators – FREE
Early Bird Rates to End on July 10th
Register at:
https://mbrservices.net/ConferenceRegistration/MeetingRegistration.aspx?meetingid=1140&AdWordId=false