Speaking Engagement
08.03.2017
Andrew Sidman will speak at the SIFMA Compliance & Legal Society San Francisco Regional Seminar on August 3, 2017 at the Charles Schwab Center in San Francisco. Andrew will be speaking on Current Issues for Dual Registrants. The topics that will be covered include:
- Suitability determinations: BD vs. advisory account selection
- Managing the rule differences between advertising and trading
- Maintaining two separate compliance programs: BD and RIA
- Regulatory considerations and exam findings