Proprietary Trading and Covered Fund Activity - Compliance and Conformance
Sponsored by Practising Law Institute
Item# 58497
Lecture Topics:
How to approach assessment of covered activities
Planning for conformance
Creating and implementing the compliance plan
The conformance period
Preparation for an extension request
How to prepare for a compliance examination
FREE!
CLE Credit: 1.50 units
On Demand – Expires 5/27/16
For further information see:
http://www.pli.edu/Content/OnDemand/Proprietary_Trading_and_Covered_Fund_Activity/_/N-4nZ1z12c3u?ID=224804&t=NGZ4_SMBR9&utm_source=SMBR9&utm_medium=EMAIL&utm_campaign=NGZ4
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