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BD Red Flag and Ethics Workshop

May 7, 2007

NSCP New York Membership Meeting

Ms. Heilizer will be speaking during the BD Red Flag and Ethics Workshop, which will discuss:

  • Identifying "red flags" - proactive compliance
  • Monitoring new accounts and trading - suitability and beyond
  • Exception reports - creation, monitoring and use
  • Tracking trends/patterns of concerns and customer complaints

The membership meeting will be held May 7, 2007 at the AMA Executive Conference Center.

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