Breakfast Seminar on Broker-Dealer Hot TopicsSeptember 17, 2015
Please join MBAF and David Landau & Associates, LLC (DLA) for a complimentary breakfast and seminar on Broker-Dealer hot topics.
- Regulatory update
- Compliance issues with FINRA and SEC
- Lessons learned from PCAOB and FINRA examinations
Shaji Varghese, CPA
Principal and Audit Practice Leader for the Northeast at MBAF
Managing Director and Compliance Group Leader at David Landau & Associates, LLC
Date: Wednesday, October 14, 2015
Time: 8:30AM – 10:30AM
Location: MBAF Office
440 Park Avenue South, 3rd Floor
New York, NY 10016
* 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