Spring 2013

Spring 2013

Andrew S. May, Esq., President of May Law, PC, attended the Midwest Regional meeting of the National Society of Compliance Professionals. Mr. May focused on broker-dealer (BD) and registered investment advisors (RIAs) topics including Suitability and Know Your Customer rules, current hot products, regulatory examinations and compliance issues for hedge funds. In addition to industry participants, Chief Compliance Officers (CCOs) and heads of BDs and RIAs, regulators from the SEC, FINRA and the NFA also participated and presented at the meeting.

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