SEC compliance oversight, cybersecurity, anti-money laundering and approaches to supervision and sales practices are among the topics of an upcoming event for regulators and industry professionals.
The SEC and FINRA, hosts of the 2015 National Compliance Outreach Program for Broker-Dealers, have begun accepting registrations for the daylong program being held on July 14 in Washington. Admission is free and open to regulators and industry professionals and focuses on a variety of compliance topics. It also highlights priorities set for the SEC's Office of Compliance Inspections and Examinations.
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