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Tue, Jan 30
|Webinar
2024 Regulary & Compliance Outlook
Join Lisa Roth, President of Monahan & Roth, LLC alongside Sara Andres, President of Antesari, LLC as they discuss updates and priorities, as well as provide insights, for 2024 that you won’t want to miss in a presentation moderated by Sandra Powers Murphy, Founder/CEO of Noble Ark Ventures.
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Time & Location
Jan 30, 2024, 10:00 AM – 11:00 AM EST
Webinar
About the Event
During this webinar, there will be a presentation, moderated by Sandra Powers Murphy, Founder/CEO of Noble Ark Ventures and author, discussing general regulatory and compliance overview with “need to know” updates for 2024 such as:
- -FINRA and SEC regulatory priorities
- -Reg BI/Form CRS
- -SEC Marketing Rule
- -AML/KYC (preparing for new private funds rule)
- -Off-channel communications
- -Vendor Compliance solutions
- -Vendor due diligence
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