Oyster Hosts New Orleans Compliance Roundtable

New OrleansOyster Consulting and the Law Offices of Jones Walker are hosting the Southern Region Investment Adviser and Broker-Dealer Compliance Roundtable in New Orleans on Monday, February 1st form 5:00pm to 6:30pm CST. Refreshments will be served.

Compliance professionals in the area are invited to join the discussion and keep abreast of changing regulations in the financial services industry. Tentative agenda topics include:

  • CEO, CCO Liability
  • Small firm CCO roles as part Legal, Operations, HR, EEO, etc.
  • Review of Regulatory matters from 2015, and 2016 Regulatory focus
  • Whistleblowers
  • Open discussion of any items of interest to attendees

If you would like to attend or learn more, please contact Hank Sanchez at hank.sanchez@oysterllc.com,  or Andy Favret at andrew.favret@oysterllc.com

For more information about Oyster Consulting, please visit our website at http://www.oysterllc.com.

For more information about Jones Walker, please visit http://www.joneswalker.com.

 

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