Brian Hackleman, Compliance Officer, attended Best Practice Forum with other compliance professionals in the Kansas City Metropolitan area. Brian is meeting quarterly with other like-minded compliance officers to discuss recent industry developments.
This “Best Practice Forum” provides an opportunity to interact with peers and learn how others are reacting to changes impacting the industry. The last twelve months have witnessed a major upheaval in financial services and many oversight reforms are expected. Feedback from other firms will help us assess priorities and focus resources on meeting the challenges affecting compliance professionals.
This information is provided for general information purposes only and should not be construed as investment, tax, or legal advice. Past performance of any market results is no assurance of future performance. The information contained herein has been obtained from sources deemed reliable but is not guaranteed.