FMA's 26th annual Securities Compliance Seminar
April 26 - 28, 2017
B Ocean Hotel
Fort Lauderdale, Florida
The Financial Markets Association will host its 26th annual Securities Compliance Seminar at the B Ocean Hotel in Fort Lauderdale. The three-day program for compliance professionals, internal auditors, risk managers, banking/securities attorneys, regulators and service providers focuses on current securities broker/dealer compliance topics, including new rules or interpretations, regulator enforcement initiatives as well as 2017 examination priorities, the DOL’s fiduciary duty rule, sales to senior citizens, CCO liability and cybersecurity. Attendees are given the opportunity to learn from their peers and identify the challenges and key regulatory “hot button” priorities through a coordinated program of both general sessions and interactive discussions with peers, industry leaders and regulators. For more information or to register, visit www.fmaweb.org or call 202/544-6327.