2g. BD/IA - Dual Registrants Talk Group (Medium to Large Firms)

This interactive group discussion will offer participants of medium to large firms the opportunity to discuss issues such as identifying conflicts of interest, outside business activities, gifts & entertainment, Reg BI, new regulations, Enforcement issues, social media, branch office inspections, and remote supervision as they relate to Broker-Dealer and Investment Adviser compliance professionals. Attendees are encouraged to share their experiences and learnings within this talk group. This session is not eligible for continuing education credits. Seating is limited. This session is closed to both regulators and members of the press.

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