NAMA Webinar - Supervisory Procedures
Thursday, July 26, 2018, 2:00 PM - 3:00 PM EDT
Category: Events
NAMA held a webinar on Thursday, July 26 at 2ET that reviewed and discussed MA Firm Supervisory Procedures. The webinar provided an overview of MSRB Rules and NAMA and MSRB resources to assist MA firms comply with supervisory responsibilities. Click HERE to view the recorded presentation. Webinar Presentation NAMA Resource: MA Compliance Reminders MSRB Resources: Considerations for Developing a Supervisory System and Compliance Program Outsourcing Compliance Functions Q&A Summary: MSRB Compliance Workshop on Small Firm MA Supervision Compliance Workshop: Small Firm MA Supervision (bottom of page) |