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Charlotte Registered Investment Adviser Compliance Seminar

Thu, Oct 18

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Harris Conference Center

With a guest speaker from the Division of Securities at the North Carolina Secretary of State's office.

Registration is Closed
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Time & Location

Oct 18, 2018, 9:00 AM – 4:00 PM

Harris Conference Center, 3216 CPCC Harris Campus Dr, Charlotte, NC 28208, USA

About the event

Topics

Best practices and recent developments in advertising and social media

Confronting cyber risks, data breaches, and privacy risks

How to prepare for regulatory examinations and avoid common deficiencies

Standing Letters of Authorization and other Custody Issues

How to design and maintain a compliance program

Tickets

  • Early Registration

    For registering before September 25, 2018.

    $200.00

    Sale ended
  • Regular Ticket

    For registering on or after September 25, 2018

    $250.00

    Sale ended

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Parker MacIntyre 2987 Clairmont Road NE, Suite 200, Atlanta, Georgia 30312

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