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Join the FMS for a fundamental training, where participants can hear from industry participants on the following topics: Discover the origins of Broker/Dealer Financial Responsibility Rules Determination of Net Capital Overview of Customer Protection Learn the requirements for Protection of Customer and PAB Portfolios Understand the Preparation of Customer and PAB Reserve Requirement

In 2018, prevalent and emerging risks are creating a significant impact across the securities and financial services industries.  Some of the key emerging risks include: industry-wide cyber-attacks, retrospective exposures, blockchain technology, cryptocurrency concerns, data privacy, audit coverage risk, and faulty data.  As a result, financial organizations need to navigate these related and challenging risks associated … Continue reading SIFMA Internal Auditors Society Seminar: Stay Strong fo 2018 →