Tuesday, October 17, 2006
NSCP National Membership Meeting -- October 18-20, 2006
I am now in DC for the NSCP national conference, which starts tomorrow.
This conference essentially covers two tracks: investment advisers and broker/dealers. The conference is then further broken out between issues faced by small firms vs. large firms.
I will provide more information after tomorrow's session. Meanwhile, please check out www.nscp.org for more information about the national conference. Also please refer to the attached agenda for additional details about the subject matter to be discussed during this conference.
Agenda.pdf
This conference essentially covers two tracks: investment advisers and broker/dealers. The conference is then further broken out between issues faced by small firms vs. large firms.
I will provide more information after tomorrow's session. Meanwhile, please check out www.nscp.org for more information about the national conference. Also please refer to the attached agenda for additional details about the subject matter to be discussed during this conference.
Agenda.pdf
CEO TRAVEL BLOG
Now that I have hit the road to attend regulatory compliance conferences across the country, I will be staying in touch with you through my brand-new CEO Travel Blog.
I will be sharing with you various tidbits about each conference, including up-to-the-minute regulatory updates, the latest scoop on industry trends, and tips for best practices. I will also be sharing with you details about the latest crop of e-compliance solutions geared towards providing the financial services industry with flexible architecture to address the needs of todayâs risk based compliance programs.
For additional details about upcoming conferences, please click here.
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