Careers in Compliance

Date:

Monday, May 6, 2013

Speaker(s):

Stuart Breslow, global head of compliance, Morgan Stanley; Dan Kosowsky, chief compliance officer, Morgan Stanley Wealth Management

Location:

Morgan Stanley Headquarters
1585 Broadway
New York, NY 10036
United States

Fee:

free

Time:

5:30-8 pm

CLE Credits:

N/A

Event Type:

 

Please join ACC GNY's panel of veteran compliance officers for a lively discussion of “A Career as a Compliance Officer in Financial Services.”  The panelists and other senior compliance officers will be on hand before and after the program to network with attendees.  Following introductory remarks by Morgan Stanley’s Global Head of Compliance, Morgan Stanley’s Chief Compliance Officers for its institutional and retail broker-dealers will lead consecutive panels covering: An Overview of Compliance; Advising the business; Interacting with regulators in various contexts; Engaging in the rulemaking process; Trouble shooting Communicating with customers; Participating in the development of new products and businesses; and Training, drafting policies/procedures, testing, monitoring and more.

  •  

Location

Javascript is required to view this map.