St. Louis Compliance Roundtable

The Greater Saint Louis BD/IA Compliance Roundtable holds meetings three times per year: February, May and September. The Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and select outside counsel and other invited speakers/guests. Vendors are generally not invited unless the industry topic is the subject of a presentation. “No Sales Pitch” zone. The meetings consist of group discussions, speaker presentations and small working group presentations. A confidentiality agreement is signed by members and member participationis expected. There is no cost to join the Roundtable and refreshments are paid for by the BD/IA member firm that sponsors the meeting.

For further information regarding this Roundtable, please contact Kim McNutt at NSCP or forward your contact information to be added to the e-mail list to receive notifications of future events.

Phone: (860) 672-0843
E-mail: kmcnutt@nscp.org

Roundtable Member Disclaimer:
Roundtables are a great way to further your professional development and get to know some of your peers. Your satisfaction with the Roundtable is extremely important to us. However, please note that NSCP neither sponsors the Roundtables nor do we have control over the content and format of the meetings. Membership in NSCP is not a requirement to participate in the Roundtables. Consequently, if for any reason your Roundtable experience does not meet your expectations, it is important that you contact NSCP. We can redirect you to another Roundtable that might better suit your needs, or we might be able to help you form your own Roundtable. Please submit all comments to Kim McNutt (kmcnutt@nscp.org).