Speaking Engagement: 2016 National Conference, Charles Schwab Compliance Solutions

Written By Brandon Klerk

“Leveraging Schwab Compliance Technologies®

Thursday May 5, 1:45 p.m. – 2:45 p.m.

Are you getting the most out of your instance of Schwab Compliance Technologies (SCT)? During this session we will focus on the Personal Trading and Case Management modules.

  • Personal Trading: We will discuss how to effectively leverage business rules, maintain your direct feeds, and resolve missing account exceptions.

  • Case Management: We will discuss key differences between Case and Affirmations and demonstrate how firms are using Case as an integral component of their Compliance program.

This interactive session is designed for both beginners and experts and will provide a forum for all attendees to share best practices and insights.”

Register Here: https://event.schwab.com/rsvp/invitation/invitation.asp?id=/m1312deb-12ROB3FHDKSV5

Brandon Klerk https://www.halyardcompliance.com
Previous

Final DOL fiduciary rule released today!
Next

Speaking Engagement: 2016 National Conference