Hosted by The Bond Buyer
Listen to muni industry veterans Gregg Bienstock from Lumesis, Inc., Kim McManus from Alternative Regulatory Solutions and Mary DiMartino from J.P. Morgan discuss Muni Compliance aimed at both compliance and business professionals.
Moderated by Ms. DiMartino, discussion topics will include a 15c2-12 and MCDC recap that reviews best practices emerging across the industry and what may be coming next from the SEC and FINRA. They also cover the Municipal Advisor Rule and how to solve for G-42 requirements, the latest on Best Execution and an important link between best practices in Underwriting and Time-of-Trade compliance.
Executive Director, Public Finance
CEO and Co-Founder
Alternative Regulatory Solutions
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