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Financial Services Fiduciary Duties: Navigating the Emerging Regulatory Maze 2014

Seminar  Seminar

The SEC and DOL both have active rulemaking that could dramatically change the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisers and service providers in the retirement marketplace. At the same time, commodity trading advisers and municipal advisors have to mindful of fiduciary obligations which apply to their commodity and municipal securities activity. In this program, we review the respective frameworks ...

Enforcement 2014: Perspectives from Government Agencies

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department ...

Featured Faculty/Authors
George M. Wilson, MBA, CPA

George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI

Mina Park

Mina Park ~ Director, Banking and Capital Markets Origination Legal, Asia Pacific, Citi

Harvey I. Saferstein

Harvey I. Saferstein ~ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.