Marilyn Smith, CTCP
Head U.S. Risk Policy & Governance
HARRIS BANK
Chicago, Illinois
Let’s explore some of the nuances, facts and myths. Are standards for
Bank BDs different than those of stand-alone BDs? Are Fiduciary BD
duties the same as BD suitability? How will the Dodd-Frank Act impact
what we do? Attendees will learn these answers and more from one of our
industry’s leading compliance experts.
