October 4, 2011

FINRA Midwest Region Compliance Seminar


Chicago partner James G. Lundy presented at the FINRA Midwest Region Compliance Seminar on October 4, 2011.

Jim served on the Information Security Panel, which covered the SEC’s Reg S-P, protecting customer information, the preservation and production of records consistent with regulatory requirements, and firm responsibilities when outsourcing to third parties.

Services and Industries

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