This quarterly roundtable is open to all securities compliance professionals. LIMRA membership is not required for attendance at this roundtable, and there is no fee to attend.
This group meets four times per year, with the meeting focus alternating between Broker-Dealers and RIAs. The September meeting will focus on Broker-Dealers, but all securities compliance professionals are welcome to attend.
The New England Compliance Roundtable offers securities compliance professionals the opportunity to hear from industry experts, learn from peers, and discuss current and emerging industry issues.
Topics can include: securities compliance and regulatory issues, current and proposed federal, SRO, and state regulations for the RIAs, BDs, and insurance companies, cybersecurity, ethics, risk, testing, and more.
When you register for the meeting, you will be invited to submit topics for the agenda.
In addition to attendee-submitted topics, the agenda for this meeting will include discussions on:
- DOL Fiduciary
- Elder Financial Abuse
Dress code is Business Casual.