Posted on May 7, 2014 | Local Chapters
Date: Wednesday, May 14, 2014
Topic: Auditing Stockbrokers
Speaker: Tom Atzberger, Compliance Counsel, Alan K. Mooney’s Money Foundation think tank
Auditing in any business is a crucial tool for prevention and education. Tom Atzberger will present a number of tools to aid representatives in the process so that they are not blindsided and they are truly organized to deal with a visit from a regulator.