In 2010, FSI is conducting four (4) day-long Roundtables in different regions of the country for the compliance professionals of our broker-dealer members. In addition, we will hold two (2) day-long Roundtables for technology and operations executives.
Modeled after our closed-door discussions at our annual conference, these roundtables will provide an opportunity to hear from your colleagues at other broker-dealers about how they are managing and overcoming increasingly complex compliance and operational/technology hurdles. You will go home with new ideas you can implement right away.
Agenda items will include a variety of hot topics impacting independent broker-dealers. If you have suggestions for topics you’d like discussed, please email them to Matt Schwartz, FSI Government Affairs Council, at matt.schwartz@financialservices.org.
Attendance:FSI’s Regional Roundtables are only open to and are free for home office personnel of FSI Broker-Dealer members. Register early as space is limited. We request that each member firm limit the number of executives and senior managers at each Roundtable. Please note – A $50 charge will be assessed for no-shows in order to cover guaranteed food expenses.
Southern CA Regional Compliance and Technology & Operations RoundtablesJune 29, 2010: ComplianceJune 30, 2010: Technology & Operations 9:00am – 4:00pm PTHosted by: Laserfiche3545 Long Beach BoulevardLong Beach, CA 90807Print DirectionsParking: Free on-site Click here to register online.
For more information about FSI's Regional Roundtable events, contact:
Matt SchwartzGovernment Affairs Counsel770 980-8493e-mail Matthew