Speaking Engagement

On Friday, March 5, 2021, Joelle Simms will speak at the Investment Adviser Association's (IAA) Compliance Conference.  Her panel, "Individual Clients: Retail and Senior Client Matters,"  will provide guidance on appropriate policies, procedures, and training in the areas of retail and senior clients, discuss how to handle difficult situations involving problematic clients, and explore recent changes to solicitation and finders rules. 

Click here to learn more or to register.

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