Monday, July 8, 2013
 
 

ACA Compliance Group
St. Louis Skyline

ACA Compliance Group, Bryan Cave, ExamFX and Global Relay Present 
St. Louis Compliance Workshop for Broker-Dealers and Investment Advisers – July 24, 2013

Wednesday
July 24, 2013

1:00 p.m. – 4:00 p.m.
Cocktail Reception
Immediately Following

Location:
Bryan Cave
One Metropolitan Square
211 N. Broadway
St. Louis, MO 63102-2750

RSVP
By July 17, 2013


ACA may provide information about roundtable attendees (name, company name, provided address, phone, and email information) to our event co-sponsors. However, you may opt out of this information sharing if you prefer (see instructions following registration).

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Register NOW for a complimentary workshop designed to assist broker-dealer and investment adviser compliance professionals in dealing with current tough regulatory challenges. Our industry-knowledgeable speakers and panelists from Global Relay, ExamFX, Bryan Cave, ACA and the industry will discuss topics relevant to regulatory requirements.

Meeting Agenda

Registration 1:00 p.m.
Broker-Dealer Session 1:30 p.m.
Investment Adviser Session 2:20 p.m.
Regulatory Exams and Hot Topics 3:10 p.m.
Cocktail Reception 4:00 p.m.

CLE credit has been applied for in Missouri.

If you would like to ask a question anonymously, please submit it prior to the meeting. We will respond to it during the roundtable.

Please contact Dee Stafford at dstafford@acacompliancegroup.comwith any questions.

Sponsors:

Event Sponsors

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