The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements […]
Bloomberg Vault Webinar: Trade Reconstruction for Compliance Officers WHEN: Thursday August 21 1:00pm-2:00pm EDT Presented By: Harald Collet Global Head of Bloomberg Vault Moderated By: Mitch Avnet Managing Partner, Compliance Risk Concepts OVERVIEW: It’s only a matter of time before regulators begin requesting trade reconstruction in conjunction with regulatory exams. Are your systems ready? Join Bloomberg Vault for a webinar, Trade Reconstruction for Compliance Officers, and learn what you need to do to ensure your process is CFTC-compliant.