04/09/2013 02:00 p.m. - 03:30 p.m. EDT
Before you hone your critical compliance policies and procedures, according to the SEC, you “should first identify conflicts and other compliance factors creating risk exposure for the firm and its clients in light of the firm’s particular operations.”The difficulty comes in translating this need into tangible action. How do you assess and discover your firm’s risks? How do you mitigate the risks you uncover?Gain answers to these questions and more from a panel of experts that will help you to visualize various ways you can keep a watch on your firm’s new and emerging risks and address them. Topics Include:
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