The Latest in Private Placement Sales Oversight

SKU: SEC074

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About This Course

Learn about regulatory developments, compliance obligations and effective compliance practices related to the sales of private placements, including relevant topics such as Regulation Best Interest, communications, due diligence and conflicts of interest.

This session will discuss:

  • Review regulatory developments, compliance obligations and effective compliance practices related to private placements, including discussion about Reg BI, Communications, Due Diligence and Conflicts of Interest
  • Include discussion of RN 23-08 (concerning firms’ obligations when recommending PPs)

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