Understanding and Implementing Broker/Dealer and Investor Advisor Compliance Programs Video Leadership Seminar with Thomas Mcgonigle of Leclair Ryan (DVD) |
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| Author:
| McGonigle, Thomas |
| ISBN: | 978-1-59701-246-1 |
| Publication Date: | Jan 2007 |
| Publisher: | ReedLogic
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| Book Format: | DVD video |
| List Price: | USD $249.95 |
Book Description:
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The goal of this Video Leadership Seminar is to provide lawyers and executives with essential information about understanding broker/dealer and investor advisor compliance issues. The DVD is viewable on any computer or iPod (that supports video) and features 30 minutes of live video with Thomas McGonigle of LeClair Ryan, sharing his knowledge and experience with investment compliance programs. The Video Leadership Seminar provides specific resources such what makes a good compliance...
More DescriptionThe goal of this Video Leadership Seminar is to provide lawyers and executives with essential information about understanding broker/dealer and investor advisor compliance issues. The DVD is viewable on any computer or iPod (that supports video) and features 30 minutes of live video with Thomas McGonigle of LeClair Ryan, sharing his knowledge and experience with investment compliance programs. The Video Leadership Seminar provides specific resources such what makes a good compliance program and how to establish such a program.Topics covered in the Video Leadership Seminar include: ? Key components of a compliance program? Organizing your compliance team? Adjusting policies and procedures? Best practices for updating a compliance program? Financial and Legal issues of international expansion? Dealing with problem areas? Example cases