Investment Suitability Compliance

Webinar | April.30.2019 | 11am - 12pm (Eastern Daylight Time)

Webinar

Please join Orrick at SS&C Technologies’ upcoming webinar, Investment Suitability Compliance, where Orrick partner Daniel Nathan and SS&C Technologies VP Martin Orbach will discuss a wide range of issues around investment suitability, including tactics for enhancing investment suitability compliance efforts, and practical steps for how compliance professionals can consistently apply policies across an organization.

Some of the topics that will be covered:

  • Why risk rating securities should be a cornerstone of an investment suitability compliance effort
  • Leveraging Know Your Customer (KYC) and the importance of customer profile details
  • How investment suitability intersects with other hot button regulatory issues such as elder abuse and Regulation BI

CLE Credits Available: N