Breakfast Seminar on Broker-Dealer Hot Topics

September 17, 2015

Please join MBAF and David Landau & Associates, LLC (DLA) for a complimentary breakfast and seminar on Broker-Dealer hot topics.

Topics

  • Regulatory update
  • Compliance issues with FINRA and SEC
  • Lessons learned from PCAOB and FINRA examinations

Speakers

Shaji Varghese, CPA
Principal and Audit Practice Leader for the Northeast at MBAF

Jennifer Lin
Managing Director and Compliance Group Leader at David Landau & Associates, LLC

Event Details

Date: Wednesday, October 14, 2015
Time: 8:30AM – 10:30AM
Location: MBAF Office
440 Park Avenue South, 3rd Floor
New York, NY 10016

REGISTER NOW BY CLICKING HERE

* Space is limited and will be on a first come first serve basis. Register now to reserve your spot!
**We will be offering 2 CPE credits