Thursday, October 26, 2017
2:00 – 3:00 PM EST
As the year comes to a close, compliance professionals know it’s time to tie up loose ends. Now is the time to inventory outstanding requirements, complete reviews, and finalize documentation. Join NCS Regulatory Compliance for a targeted discussion on year-end compliance for Broker-Dealers.
We will provide an overview and best practices for:
- Critical Testing & Inspections
- Registration Renewals
- Continuing Education
- Annual Compliance Meeting
- Last Call Reviews
CPE Credits: 1.0, Group-Live, Program Level: Basic
NCS Regulatory Compliance is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org
NEW for 2017: *No charge for NCS Regulatory Compliance retainer clients (includes PartnerProgram, Levels 1-5, FINOP, and other ongoing consulting). Please contact firstname.lastname@example.org for complimentary registration link.