Dangers Particular To Senior Traders and Retirement Investments
Highlight On Expertise: Portia Amato, Compliance Officer
Now that now we have examined the SECs’ concentrate on Retail Traders (Half 1: It’s 2017, What Are the SEC’s Priorities?), it’s time to flip our consideration to the OCIE’s 2nd focus space: Dangers particular to Senior Traders and Retirement Investments in addition to a couple of different initiatives on the 2017 Precedence Checklist.
Obtain Half 2: It is 2017, What Are The SEC’s Priorities?
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ABOUT PORTIA AMATO
Portia Amato is a seasoned Compliance Officer, having over 18 years of funding administration expertise. Over the course of her profession, Portia has specialised in compliance, operations and consumer companies for funding advisors and high tier funding banks. Portia additionally efficiently helped to launched two wrap-fee applications for New York Life Funding Administration and US Belief