New Challenges on the TA Compliance Landscape
Partner, Reed Smith
Compliance Officer, FIS
Regional Director, Sales Support Operations, Northern Trust
Our panel will take a deep dive into the trends driving the retirement industry forward including:
- A guided tour of the NICSA 2019 Transfer Agent Compliance Guide
- The latest insights on GDPR regulations
- Up to date views on elder abuse prevention best practices
NICSA is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.
NICSA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: http://www.learningmarket.org/.
For this webinar:
CPEs Earned: 0
Cancellations and Refunds
Due to this program being offered free of charge, there will be no refunds issued.
Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.