Panel discusses dealers’ role in helping advisors face any negative consequences that may arise when compensation reports become mandatory
Panel discusses what regulators look for in assessing whether dealers have fulfilled suitability requirements
The job of the compliance department has never been more crucial. Kathleen Black, in her new role as head of the ACCP, takes on a pivotal role in a sector facing challenges on many fronts
Approved person transfers, outside business activities and transferring leverage accounts
Fund dealers, compliance professionals
Pace of regulatory change increasing
Sandra Kegie has extensive experience working with regulators and as chief compliance officer with some mutual fund dealers
Hearing with four fund companies scheduled for Thursday
ACCP elects slate of officers
ACCP forum set for May