The Michicgan Office of Financial and Insurance Services (OFIS) has announced announced that it will hold a seminar entitled “Compliance 2006 – Putting the Investor First” on September 26, 2006.
The seminar will take place at Lansing Community College and will be conducted by local and national experts in the areas of securities, investments and compliance, according to the OFIS office statement.
The seminar is intended to provide broker-dealers, investment advisers, attorneys and compliance firms with up-to-date information on important issues facing Michigan’s elderly population, including financial crimes and ways to assist elderly victims. The seminar also will focus on day-to-day business operations such as current NASD regulatory and enforcement issues, electronic recordkeeping, written supervisory procedures and examination trends.
“This seminar is part of our ongoing efforts to work proactively with securities professionals,” OFIS Commissioner Linda A. Watters said. “This informative, valuable seminar will be a great opportunity for investment professionals to exchange ideas and learn about current issues, and I encourage everyone involved in this field to attend.”
The cost of the seminar is $25. It includes continental breakfast, lunch and afternoon refreshments. Attendance is limited to 150 guests. The registration form can be downloaded at the following link: http://www.michigan.gov/documents/compliance_2006_invitation_167363_7.pdf.
Source: Michigan OFIS
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