MOBILE COMPLIANCE ROUNDTABLE
With the recent SEC inquiry into past and present mobile communication recordkeeping, everybody’s asking:
What’s happening with mobile compliance in wealth management?
Join us on Thursdays 1:30pm ET
Beginning Thursday, September 15, 2022, CellTrust’s General Counsel Rebecca Ruegg and Chief Operating Officer Kevin Moshir will discuss what’s happening with mobile compliance across the wealth management industry. This roundtable is open to media, customers and non-customers.
As the SEC delves into the past and present recordkeeping practices of wealth management organizations and their advisors communicating with their customers on multiple mobile devices across multiple channels, there will be plenty to engage you during this 20 minute roundtable with 10 minute Q&A.
REGISTER HERE: for What’s happening with mobile compliance in wealth management?
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