September 22, 2021

2021 CEFLI Annual Conference

Examinations: Key Findings and Compliance Issues Identified During Regulation Best Interest and Form CRS Exams

Webinar

Overview

Faegre Drinker Partner Jim Lundy is participating in a panel discussion at the 2021 CEFLI Annual Conference. In the session titled “Examinations: Key Findings and Compliance Issues Identified During Regulation Best Interest and Form CRS Exams,” Jim and his fellow panelists will discuss key findings identified through their examination activities and will identify areas for possible improvements in SEC and FINRA compliance practices.

Services and Industries

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