2020 Compliance For RIAs

Event

2020 Compliance For RIAs
Title:
2020 Compliance For RIAs
When:
Wed, 12. February 2020, 04:00 PM EST - 05:00 PM EST
Category:
Webinars
Created by:
Ben Resnik

Description

Please join us for Cathy Vasilev's 2020 RIA compliance webinar.



Cathy brings more than 25 years of compliance and supervisory expertise in independent broker-dealers, wire-house broker/dealers, and RIAs. Cathy served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent broker/dealer, and RIA. She was an Associate Manager for Prudential where she supervised 75 representatives, performing all compliance functions for the branch. She began her career as a stockbroker for Salomon Smith Barney and later moved to compliance and operations. Cathy has a Masters of Business Management degree. She is a member of the Association of Compliance Professionals; a member of National Society of Compliance Professionals; a member of Compliance and AML Professionals; and has FINRA Series 7, 24, 26, 63 and Life and Health licenses.

 

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