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Wealth Compliance Leaders featuring Nancy Mehrad, CEO and Co-Founder at Registrant Law
In today’s conversation, we met with Nancy Mehrad, CEO & Securities Lawyer of Registrant Law to review the CSA & CIRO’s examination findings regarding Conflicts of Interest as it relates to the Client Focused Reforms.
Nancy provides best practices and controls firms can implement to improve their compliance and what firms with proprietary products need to focus on. She also discusses what's next from regulators on the CFR file.
== For more information ==
InvestorCOM Website: https://investorcom.com/
InvestorCOM Social Media:
Twitter: https://twitter.com/InvestorCOMInc
LinkedIn: https://www.linkedin.com/company/investorcominc
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By InvestorCOM Inc.
5
11 ratings
In today’s conversation, we met with Nancy Mehrad, CEO & Securities Lawyer of Registrant Law to review the CSA & CIRO’s examination findings regarding Conflicts of Interest as it relates to the Client Focused Reforms.
Nancy provides best practices and controls firms can implement to improve their compliance and what firms with proprietary products need to focus on. She also discusses what's next from regulators on the CFR file.
== For more information ==
InvestorCOM Website: https://investorcom.com/
InvestorCOM Social Media:
Twitter: https://twitter.com/InvestorCOMInc
LinkedIn: https://www.linkedin.com/company/investorcominc