SEC 2023: Looking back at key rules, regulations and risks

As the year draws to a close, it's crucial for wealth management professionals to reflect on the dynamic regulatory landscape that shaped 2023. Join us for a webinar that delves into the key rules, regulations, and risks that left a lasting impact on our industry.

Don't miss this opportunity to enhance your regulatory knowledge and ensure your firm is well-positioned for success in 2024.

Why attend:

• Gain a deeper understanding of the SEC's guidance and significant cases from 2023.
• Stay ahead of the curve by identifying the rules to watch and their potential impact on your firm.
• Prepare for regulatory examinations with insights into the SEC's Exam priorities.
• Translate our findings into actionable compliance takeaways to strengthen your firm's readiness for the upcoming year.

Speakers:

Beth Haddock, Chief Compliance Strategist @ AdvisorEngine
Suleman Din, Advisor Intelligence Lead @ AdvisorEngine