Supervision
of
Registered
Representatives in a Bank Broker Dealer
Deana King
Senior Compliance Officer
M&T SECURITIES, INC.
Rochester, New York
The handling of broker dealer supervision is an important and complex
part of the duties and responsibilities of every supervisory principal
and compliance professional in the financial industry. Given today’s
regulatory climate and increased scrutiny of firms, it is critical that
organizations have a clear understanding of supervision and the roles
and responsibilities that go with it. This presentation will review key
topics of supervision, leveraging Deana’s 20 years of experience in a
bank broker dealer environment.
Regulatory Environment and Supervisory Structure
Creating Supervisory Hierarchy
Keeping the Supervisory Hierarchy on the right track
