The Six Deadly Broker-Dealer Compliance Sins You Do Not Want To Commit

Communication is a key element within any firm environment. Nowhere is that more evident than between a firm’s upper management and their Financial and Operations Principal (FINOP). Join us as we bring three experienced FINOPS together to discuss six common and often silent financial compliance pitfalls that await the unwary. Listen as they illuminate the unfortunate real world consequences that firms create when they do not consult their FINOP prior to acting….and how to avoid them.

Join us as we discuss how management and the FINOP should address the following topics you face daily:

– Revenue Recognition,
– Compensation Issues,
– Expense Share Arrangements,
– Asset and Liability Management,
– Equity Transactions, and
– Net Capital.