BD/IA Boot Camp: Personal Training from Professionals in the Trenches

20 April 2017   via webinar   12:00 - 1:00 p.m.  

This webinar, presented by K&L Gates and the Los Angeles County Bar Association, is intended to be an introduction to the practical aspects of being an SEC-registered investment adviser and/or a FINRA broker-dealer. The presenters will discuss basic requirements and the practicalities of being supervised by the SEC and/or FINRA.

Speakers

  • Michael Quinn, K&L Gates Los Angeles
  • Paul Douglas, Senior Compliance Officer, Crescent Capital Group
  • Natalie Maniaci, Counsel, Los Angeles Capital Management
  • David Mathews, General Counsel, Altegris  

To RSVP, please click the registration button.

BD/IA Boot Camp: Personal Training from Professionals in the Trenches

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