20
Years of Compliance - Now Is Still Then - Only More So
Brad Markham
Trust Counsel
JPMORGAN
Chicago, Illinois
For FIRMA's 20th Anniversary conference, Brad looks at Compliance
issues that have been with us all through these 20 years, with a
special emphasis on where we are today. Brad will offer a general
overview of the issues that concern us, including:
Conflicts of Interest
Policies and Procedures
Brokerage vs. Trust
Delegation of Investment Authority
Dual Hatting and the Place of Legal
Compliance and Audit in the Trust and Brokerage Business.
