We’ll explore the operational risk, valuations & liquidity concerns, intermediary and 3rd party oversight, cyber-security, and distribution fees as well as hot-button products such as fixed income, money funds & liquid alternatives. GlobalRisk Community members are entitled to a 10% discount. Mention FMP110 during registration to enjoy this offer. For more information, please contact Kathie Eberhard at 704-341-2439 or keberhard@frallc.com
Top Reasons to Attend:
- Examine current areas of SEC concern and scrutiny
- Tips for surviving the OCIE Fixed Income Examination
- Determine how much of an impact the reforms will have on your money fund
- Uncover the latest areas of concern for conflicts of interest like: valuation, undisclosed strategies, fund distribution, related-party transactions, hidden fees and expenses, and expense allocations
- Discover the most vital takeaways from SEC and FINRA cyber sweeps, as well as risks affecting small advisory firms like terminated employees, password sharing, and cybersecurity on a budget
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