A Customer Discussion with Northwestern Mutual

Ensuring Compliant Financial Advice

January 21, 1:00 pm EST

Watch the expert discussion between Denise Valentine, Research Director from Chartis Research, and Maggie Piekarski , Assistant Director Home Office Supervision, Enterprise Compliance at Northwestern Mutual, on how strategies and suitability tools available can ensure that investors are protected and being managed appropriately.

Jump directly to a section of your interest:

02:08		The Context - Wealth Market Trends »
13:39		Why did your firm select SURVEIL-X? »
15:17		How can the new platform help to be more proactive? »
18:41		What will change for the supervisors? »
20:39		How was the recent SEC audit on Reg BI? »
23:27		How can you adapt to this ever changing regulatory environment? »
28:18		Do we expect suitability regulations to increase going forward? »
31:00		Are you hearing about firms adopting more AI and machine learning? »
34:27		How do you combine daily and monthly trade surveillance? »

Watch the other sessions on Financial Markets Compliance during ENGAGE Live 2021:

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A Customer Discussion with Northwestern Mutual Ensuring Compliant Financial Advice

Learn MoreDownload brochures & whitepapers from the Resource Center

A Customer Discussion with Northwestern Mutual

Ensuring Compliant Financial Advice

Learn More

Download brochures & whitepapers from the Resource Center