Upcoming events.
Let’s Connect: Power Your Business with GiGCXOs Expertise.
Filtering by: “Compliance”
Oct
9
SIFMA Forum: The Latest AML Rulemakings Impacting Asset Managers and Broker-Dealers
Join us for a fireside chat between Chandana Ravindranath and Satish Kini on the latest AML rulemakings and Treasury’s strategic initiatives, followed by expert panel discussion focusing on implementation from different perspectives.
Oct
9
to Oct 10
FINRA Small Firm Conference
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.