NSCP Currents Live Webinar - Best Execution: What Compliance Professionals Need to Know Now
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Event Details
Featuring
Margaret Dubil, Deputy Chief Compliance Officer, Stifel Financial Corp.
Bernard "Bob" Frize, Senior Consultant, Confluence Compliance Services
Jeffrey Pruitt, Head, US Wealth Management Trust and Investment Compliance, Legal and Regulatory Compliance / BMO Financial Group
Topic
Best Execution: What Compliance Professionals Need to Know Now
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Why Best Execution Matters Now
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Key Recent Developments
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What Compliance Should Be Asking
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How to Respond
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Interactive Q&A
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NSCP Currents Live webinars offer real-world interpretations of securities regulations and their impact on compliance, practical advice on compliance initiatives, tools and other resources to assist compliance professionals, best practices for implementation, and engaging discussions on all areas of compliance.
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Event Access Information
Use of AI notetakers, automated transcription tools, or recording bots during NSCP sessions is not permitted.
Event Access: Login details will be e-mailed when you register and a reminder e-mail will be sent on the day of the event. You can also add to your calendar from the e-mail.
Recording & Materials: Available to NSCP members on Currents On Demand following the event.