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Complimentary Webinars: The Top 10 Most Frequent Market Conduct Issues of the Year Thank you for your interest in our upcoming webinars scheduled for 2:00 PM (EST) on Thursday, October 23, 2014 and Tuesday, October 28, 2014. Please complete the registration form below. For additional information regarding the topics that will be covered during these sessions, please view the full session description at the bottom of this page. |
| ABOUT THE SESSIONS For ten years Wolters Kluwer Financial Services has annually researched and analyzed the previous year's market conduct exams for the entire year. This year will be no exception. Please join us as Kathy Donovan, Senior Compliance Counsel, hosts two webinars to provide an in-depth review of the most frequent market conduct issues from 2013. These webinars are a must for compliance professionals seeking to understand what the regulators are looking for during an examination. |