Regulatory Interchange Webinar Featuring the SEC
Join us April 30th for a Regulatory Interchange webinar featuring the SEC.
Event Details
Join us on April 30th for a Regulatory Interchange webinar featuring the SEC. NSCP hosts Regulatory Interchanges to facilitate direct dialogue between compliance professionals and regulators. We will discuss exam insights, compliance best practices, and more - critical updates for financial services compliance staff.
Speakers:
Marshall Gandy, National Associate Director of the Investment Adviser and Investment Company Examination Program, Division of Examinations, U.S. Securities & Exchange Commission
Michael Rufino, National Associate Director, U.S. Securities & Exchange Commission
Mark your calendar so you don’t miss this event!
Registration Information
No need to register. Similar to other NSCP virtual events, access will be provided to NSCP Members on the day of the event.
This webinar will be accessible to NSCP Members only.
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