4-Hour Program

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Overview

Why You Should Attend

Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny.  At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current regulatory initiatives and recent examination and enforcement activity to give attendees a multi-faceted perspective on requirements and best practices in this area.

What You Will Learn

  • SEC and FINRA scrutiny of broker-dealer supervision of advisory activity
  • The SEC’s conflicts of interest initiative
  • The impact of DOL’s new conflicts rule
  • What are the limits and extent of FINRA’s jurisdiction with respect to broker-dealer advisory activity
  • What are the lessons learned from recent SEC and FINRA enforcement actions?
  • Current exam initiatives

Who Should Attend

This program is designed for legal and compliance professionals at broker-dealers and advisers.  We will also frame the discussion so that anyone entering the financial services industry will benefit from the program's thorough grounding regarding the basic regulatory compliance governing broker-dealers and advisers.

Credit Details