RBC Operations & Compliance Roundtable
Many thanks to my friends at RBC Correspondent Services for the opportunity to participate in the 2019 RBC Operations & Compliance Roundtable in Minneapolis last week. The conference focused on key industry issues and was well attended by RBC’s introducing broker’s compliance and operations professionals. I was honored to speak on a panel discussing Compliance Best Practices for Supervision.
As always, the best part was catching up with old associates and making new friends. My fellow attendees were a great bunch to mingle with on a beautiful summer evening. It turns out that summer in Minneapolis can also be a bit hot and humid, but honestly, it doesn’t come close to Philly!