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2024 Regulatory & Compliance Outlook
The group is joined by Lisa Roth, President of Monahan and Roth LLC, and Sara Andres, President of Antesari LLC, for the annual Regulatory and Compliance Outlook webinar. Lisa and Sara dive into compliance topics that you need to know for the year 2024.
They discuss new rules, updates, and points of emphasis for the upcoming year including:
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FINRA & SEC regulatory priorities
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Reg BI/Form CRS
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SEC Marketing Rule
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Preparing for the new private funds rule
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Off-channel communications
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Vendor compliance and due diligence
2024 Regulatory & Compliance Outlook
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