Stephen Selby

48 Seguidores

8 SlideShares 48 Seguidores 125 Siguiendos

I am currently with LIMRAs Regulatory Services Department. We provide regulatory compliance consulting and auditing services for broker-dealers and investment advisers. Compliance professional in retail broker / dealer regulatory compliance since 1997, in the financial services industry since 1991. I have passed the following Series Exams 4, 6, 7, 24, 26, 66. (Inactive) Member of the SocialTurns Council. Contact me to learn more about LIMRA Compliance and Regulatory Services.

social media limra_crs limra erisa disclosure investment insurance fiduciary regulations marketing finra compliance regulatory compliance financial services

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Stephen Selby

Presentaciones

Social Media Compliance for Financial Services 2013 by LIMRA

Social Media: Opportunities and Challenges

State of Compliance 2013

HR 26 NARAB IIb

BCP - a Practical Guide

Broker-Dealer Insurance Distribution Issues

Back From the Social Future

DOL: Final Definition of "Fiduciary"

Recomendaciones

Social Media Compliance for Financial Services 2013 by LIMRA