MBAF and DLA Broker-Dealer Hot Topics Seminar

November 2, 2015

On October 14, 2015, MBAF and David Landau & Associates, LLC (DLA) held a complimentary breakfast and seminar for Broker-Dealers and discussed hot topics surrounding regulatory updates, compliance issues with FINRA and SEC, and lessons learned from PCAOB and FINRA examinations.

The presentations are available for download here: DLA – Broker-Dealer Regulatory Updates and MBAF – Broker-Dealer Hot Topics.

The event was hosted by Shaji Varghese, CPA, Principal and Audit Practice Leader for the Northeast at MBAF, and Jennifer Lin, CAMS, Partner and Compliance Group Leader at DLA.

For more information, please contact DLA at (973) 575-1565 or compliance@dlallc.com.