| Broker-Dealer and Adviser Regulatory Compliance Forum 2012 TOC |
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| Chapter 1: Redefining the Retail Relationship: The Emerging Regulatory Framework Governing Suitability, the Standard of Care and Disclosure |
Clifford E. Kirsch ~ Sutherland
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| Chapter 2: Broker-Dealer and Investment Adviser Advertising |
Clifford E. Kirsch ~ Sutherland
John Munch ~ SEI Investment Distribution Co
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| Chapter 3: Broker-Dealer Supervision |
Clifford E. Kirsch ~ Sutherland
Issa J. Hanna ~ Sutherland Asbill & Brennan LLP
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| Chapter 4: Outsourcing Back-Office Functions to Third-Party Service Providers: Supervisory Responsibilities and Best Practices |
Stephanie R. Nicolas ~ WilmerHale LLP
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| Chapter 5: FINRA's 2011 Annual Regulatory and Examination Priorities Letter |
Clifford E. Kirsch ~ Sutherland
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| Chapter 6: Speech by SEC Staff: The Role of Compliance and Ethics in Risk Management by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission |
Clifford E. Kirsch ~ Sutherland
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| Chapter 7: Index to Broker-Dealer and Adviser Regulatory Compliance Forum 2012 |
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