Moyen Presents Webinar On The Top 10 Current Compliance Issues For Investment Advisers
September 25, 2007
Christopher J. Moyen, an associate attorney in the securities group, presented an online seminar today, "The Top 10 Current Compliance Issues For Investment Advisers."
In his 30-minute presentation, Chris discussed what SNSFE's securities group believes to be the ten most important compliance issues facing investment advisers today. He cites example deficiencies and also gives examples of effective policies and procedures. In addition, Chris gives his thoughts on the importance of annual reviews and how and when they should be performed.
Recorded presentation. Watch it now.
Listen to the podcast.
Watch previously recorded presentations.
For more information on the services our securities practice group offers, please contact Chris at 312.621.4400 or CMoyen@snsfe-law.com.
Christopher J. Moyen, an associate attorney in the securities group, presented an online seminar today, "The Top 10 Current Compliance Issues For Investment Advisers."
In his 30-minute presentation, Chris discussed what SNSFE's securities group believes to be the ten most important compliance issues facing investment advisers today. He cites example deficiencies and also gives examples of effective policies and procedures. In addition, Chris gives his thoughts on the importance of annual reviews and how and when they should be performed.
Recorded presentation. Watch it now.
Listen to the podcast.
Watch previously recorded presentations.
For more information on the services our securities practice group offers, please contact Chris at 312.621.4400 or CMoyen@snsfe-law.com.
