transcript   Transcript

Broker-Dealer Supervisory Themes

Recorded on: Feb. 8, 2018
Running Time: 00:59:44

Full Transcript:

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Taken from the Web Program Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants held February 2018 in New York

Broker-Dealer Supervisory Themes [00:59:44]

  • Brokerage versus advisory accounts
  • Monitoring and controls related to reverse churning
  • Identifying and mitigating conflict
  • Manager due diligence
  • Advisory fee building
  • SEC enforcement and exam activity

Mackenzie E. Crane, Lisa M. Francomano, James P. Huang, Akrivi Mazarakis

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • Supervision of Broker-Dealer Advisory Activity (February 2018)
    Clifford E. Kirsch

Presentation Material
  • Supervisory Challenges Operating as a Dual-Registrant
    Mackenzie E. Crane, Lisa M. Francomano, James Huang, Akrivi Mazarakis
    Mackenzie E. Crane ~ Assistant General Counsel and Director, Bank of America Merrill Lynch
    Lisa M. Francomano ~ Executive Director, CCO, UBS Financial Services
    James Huang ~ Vice President & Corporate Counsel, Prudential Financial, Inc.
    Akrivi Mazarakis ~ Branch Chief, Office of Chief Counsel, Office of Compliance Inspections and Examinations , U.S. Securities and Exchange Commission
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