FacultyFaculty/Author Profile
Clifford E. Kirsch

Clifford E. Kirsch

Eversheds Sutherland (US) LLP

New York, NY, USA


Cliff Kirsch began his career at the U.S. Securities and Exchange Commission (SEC), became chief legal officer for one of the country’s largest dually- registered broker-dealer/advisers and then joined Sutherland (now Eversheds Sutherland) in 2006. He relies on his regulatory and in- house background and an up-to-date knowledge of regulatory developments to provide practical and innovative counsel to broker-dealers and investment advisers in the areas of securities regulation and compliance.

With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.

While at the SEC, Cliff received the Manuel F. Cohen Award, which recognizes younger lawyers who have displayed outstanding legal ability, integrity and judgment and he served as assistant director of the SEC's Division of Investment Management.

Cliff is a frequent speaker at industry conferences, and is the author and editor of two of the leading treatises in the broker-dealer and adviser arena: Broker-Dealer Regulation and Investment Adviser Regulation (published by the Practising Law Institute).

Cliff is also co-founder of the Julia Anne Kirsch Foundation, which seeks to serve the needs of disabled individuals and their families.

Experience

Eversheds Sutherland counsels a coalition of major life insurance companies on evolving state and federal regulations and other legal developments.

Eversheds Sutherland represents a coalition of major life insurance companies, which collectively account for more than 80% of the annuity business in the United States, in their efforts to affect the direction and details of various SEC, FINRA, CFTC, NAIC and state rule proposals and initiatives.

Eversheds Sutherland serves as outside counsel on broker-dealer and adviser regulatory issues for one of the largest independent broker-dealer networks in the country. Eversheds Sutherland serves as regular primary outside counsel on broker-dealer and adviser regulatory issues for one of the largest independent broker-dealer networks in the country.

Eversheds Sutherland represents coalition of collective trust fund sponsors, advisers and other service providers.

Eversheds Sutherland serves as counsel to the Coalition of Collective Trust Funds. Among other things, Sutherland monitors and reports on legal and regulatory matters affecting collective trust funds.

Professional Activities

Member, New York City Bar Association

Faculty, FINRA Compliance Institute at The Wharton School of the University of Pennsylvania

Former Chair, FINRA Variable Products Committee

Former Board Member, National Society of Compliance Professionals

Clifford E. Kirsch is associated with the following items:
Treatise  Treatise Mutual Funds and Exchange Traded Funds Regulation (Third Edition) - Mutual Fund Regulation
Broker-Dealer Regulation (Second Edition) - Broker-Dealer Regulation
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition) - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law
Variable Annuities and Variable Life Insurance Regulation (Second Edition) - Variable Annuities & Variable Life Insurance Regulation
Financial Product Fundamentals: Law, Business, Compliance (Second Edition) - Financial Product Fundamentals: Law - Business - Compliance
Course Handbooks  Course Handbooks Fundamentals of Investment Adviser Regulation 2017
Fundamentals of Broker-Dealer Regulation 2017
Securities Law and Practice 2017: How the SEC Works
Financial Services Industry Regulatory Compliance Forum 2017
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants
Fiduciary Investment Advice 2018
Basics of Mutual Funds and Other Registered Investment Companies 2018
Fundamentals of Investment Adviser Regulation 2018
CHB Chapters  CHB Chapters Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order, In the Matter of Robert W. Baird & Co. Incorporated (September 8, 2016) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert—Volume VI, Issue 3: The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers (February 7, 2017) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
Introduction to the Investment Advisers Act - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Examination Priorities for 2017 - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, In the Matter of Riverfront Investment Group, LLC (July 14, 2016) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
U.S. Securities and Exchange Commission, Division of Trading and Markets, Guide to Broker-Dealer Registration (December 12, 2016) - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
Practical Considerations Regarding the Establishment and Maintenance of the Broker-Dealer Supervisory Framework - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
The Laws That Govern the Securities Industry - Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017
Researching the Federal Securities Law Through the SEC Website - Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017
Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer, 17 CFR Part 205 - Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017
FINRA Report on Conflicts of Interest (October 2013) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
Andrew Ceresney, Director, Division of Enforcement, U.S. Securities and Exchange Commission, Keynote Speech, Remarks Before ACI’s 33rd International Conference on the FCPA (November 30, 2016) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Keynote Address, “The Role of Big Data, Machine Learning and AI in Assessing Risks: a Regulatory Perspective,” Remarks Before the 19th Annual Operational Risk North America Conference, New York, NY (June 21, 2017) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
FINRA Report on Digital Investment Advice (March 2016) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
Supervision of Broker-Dealer Advisory Activity (February 2018) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
Supervision of Representative Outside Activities (February 2018) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
U.S. Securities and Exchange Commission, Investor Bulletin: Robo-Advisers (February 23, 2017) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
Ch. 43: Wrap Fee Programs, Practicing Law Institute, Investment Adviser Regulation (3rd Edition) (October 2017) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
The Broker-Dealer and Adviser Uniform Standard of Care: A Chronology (February 7, 2018) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2017-02: Robo-Advisers (February 2017) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert—Volume VII, Issue 2, Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers (April 12, 2018) - Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018
U.S. Securities and Exchange Commission, Staff Letter: Engaging on Fund Innovation and Cryptocurrency-related Holdings (January 18, 2018) - Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018
Form ADV (Paper Version): Uniform Application for Investment Adviser Registration—Part 2: Uniform Requirements for the Investment Adviser Brochure and Brochure Supplements - Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018
North American Securities Administrators Association: Rise of Fintech Raises New Concerns for Securities Regulators—Survey Shows Millennials at Greatest Risk for Fintech Fraud; Need for Increased Vigilance by Regulators, Industry and Investors (February 15, 2018) - Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018
U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, 2018 National Exam Program: Examination Priorities - Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018
Overview of the FINRA Rulebook Framework (May 26, 2018) - Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018
Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Speech, The Evolving Market for Retail Investment Services and Forward-Looking Regulation—Adding Clarity and Investor Protection while Ensuring Access and Choice (May 2, 2018) - Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018
U.S. Securities and Exchange Commission: Division of Trading and Markets—Investor Publications: Guide to Broker-Dealer Registration (October 6, 2009) - Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018
Brett Redfearn, Director, Division of Trading and Markets, U.S. Securities and Exchange Commission, Speech, Remarks at the FINRA Annual Conference (May 22, 2018) - Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018
Financial Industry Regulatory Authority (FINRA), Progress Report on FINRA360 (April 2018) - Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018
Web Segment  Web Segment Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
The Broker-Dealer Customer Relationship - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
Laying the Groundwork – The Basics of the SEC and Securities Laws - Securities Law and Practice 2017: How the SEC Works, Monday, October 30, 2017
Approaching Conflicts in Financial Services Firms - Financial Services Industry Regulatory Compliance Forum 2017, Monday, November 13, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Thursday, February 08, 2018
How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - Fundamentals of Investment Adviser Regulation 2018, Wednesday, June 27, 2018
Who is an Investment Adviser; Regulatory Jurisdiction - Fundamentals of Investment Adviser Regulation 2018, Wednesday, June 27, 2018
MP3 Audio  MP3 Audio The Broker-Dealer Customer Relationship - The Broker-Dealer Customer Relationship, Tuesday, July 18, 2017
Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Broker-Dealer Supervision; Compliance Programs: Recordkeeping, Tuesday, July 18, 2017
Laying the Groundwork – The Basics of the SEC and Securities Laws - Laying the Groundwork – The Basics of the SEC and Securities Laws, Monday, October 30, 2017
Approaching Conflicts in Financial Services Firms - Approaching Conflicts in Financial Services Firms, Monday, November 13, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Thursday, February 08, 2018
Who is an Investment Adviser; Regulatory Jurisdiction - Who is an Investment Adviser; Regulatory Jurisdiction, Wednesday, June 27, 2018
How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 27, 2018
Transcripts  Transcripts The Broker-Dealer Customer Relationship - The Broker-Dealer Customer Relationship, Tuesday, July 18, 2017
Laying the Groundwork – The Basics of the SEC and Securities Laws - Laying the Groundwork – The Basics of the SEC and Securities Laws, Monday, October 30, 2017
Approaching Conflicts in Financial Services Firms - Approaching Conflicts in Financial Services Firms, Monday, November 13, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Thursday, February 08, 2018
Who is an Investment Adviser; Regulatory Jurisdiction - Who is an Investment Adviser; Regulatory Jurisdiction, Wednesday, June 27, 2018
How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 27, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg The Broker-Dealer Customer Relationship - The Broker-Dealer Customer Relationship, Tuesday, July 18, 2017
Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Broker-Dealer Supervision; Compliance Programs: Recordkeeping, Tuesday, July 18, 2017
Laying the Groundwork – The Basics of the SEC and Securities Laws - Laying the Groundwork – The Basics of the SEC and Securities Laws, Monday, October 30, 2017
Approaching Conflicts in Financial Services Firms - Approaching Conflicts in Financial Services Firms, Monday, November 13, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Thursday, February 08, 2018
How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 27, 2018
Who is an Investment Adviser; Regulatory Jurisdiction - Who is an Investment Adviser; Regulatory Jurisdiction, Wednesday, June 27, 2018
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 25, 2017, New York, NY
Securities Law and Practice 2017: How the SEC Works, Friday, November 03, 2017, New York, NY
Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 15, 2017, New York, NY
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 14, 2018, New York, NY
Financial Services Conflicts of Interest & Fiduciary Duties 2018: Navigating the Emerging Regulatory Maze, Thursday, May 17, 2018, New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 21, 2018, New York, NY
Fundamentals of Investment Adviser Regulation 2018, Monday, July 02, 2018, New York, NY
Treatise Chapters  Treatise Chapters Broker-Dealer Compliance Programs - Broker-Dealer Regulation (Second Edition), Tuesday, May 22, 2018
Senior Investors - Broker-Dealer Regulation (Second Edition), Tuesday, May 22, 2018
Business Continuity Planning - Broker-Dealer Regulation (Second Edition), Tuesday, May 22, 2018
Establishment and Maintenance of a Supervisory Structure - Broker-Dealer Regulation (Second Edition), Tuesday, May 22, 2018
SEC and FINRA Inspections - Broker-Dealer Regulation (Second Edition), Tuesday, May 22, 2018
Introduction - Broker-Dealer Regulation (Second Edition), Tuesday, May 22, 2018
Broker-Dealer Standard of Care - Broker-Dealer Regulation (Second Edition), Tuesday, May 22, 2018
SEC Registration; and Appendices 8A-8D - Variable Annuities and Variable Life Insurance Regulation (Second Edition), Wednesday, June 20, 2018
SEC Insurance Product Exams; and Appendix 22A - Variable Annuities and Variable Life Insurance Regulation (Second Edition), Wednesday, June 20, 2018
Separate Account Compliance Programs - Variable Annuities and Variable Life Insurance Regulation (Second Edition), Wednesday, June 20, 2018
SEC Regulation of Product Distribution - Variable Annuities and Variable Life Insurance Regulation (Second Edition), Wednesday, June 20, 2018
Advertising - Variable Annuities and Variable Life Insurance Regulation (Second Edition), Wednesday, June 20, 2018
Insurer Exchange Programs - Variable Annuities and Variable Life Insurance Regulation (Second Edition), Wednesday, June 20, 2018
State Securities Regulation of Product Distribution - Variable Annuities and Variable Life Insurance Regulation (Second Edition), Wednesday, June 20, 2018
Suitability - Variable Annuities and Variable Life Insurance Regulation (Second Edition), Wednesday, June 20, 2018
The Standard of Care Applying to the Sale of Annuity Products - Variable Annuities and Variable Life Insurance Regulation (Second Edition), Wednesday, June 20, 2018
Variable Life Insurance Illustrations - Variable Annuities and Variable Life Insurance Regulation (Second Edition), Wednesday, June 20, 2018
An Introduction to Variable Insurance Products - Variable Annuities and Variable Life Insurance Regulation (Second Edition), Wednesday, June 20, 2018
Trading Conflicts - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Investment Adviser Compliance Programs - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Custody and Protection of Customer Accounts - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Overview - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Mutual Funds - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Code of Ethics, Personal Trading, and Insider Trading Policies and Procedures - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Enforcement of the Advisers Act - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Business Continuity Planning - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Privacy of Client Financial Information: An Overview - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Investment Restrictions - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Advisers to Collective Trust Funds - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Investment Adviser Status Questions; and Appendix 2A - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Wrap Fee Programs - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Efforts to Impose a Uniform Standard of Care on Broker-Dealers and Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Referrals - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
The Jurisdictional Divide Between the SEC and the States - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Pay to Play - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Affiliated Brokerage - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Investment Adviser Compensation - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Insurance Company Agent Advisory Activity - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Selecting the Broker - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
SEC Inspections - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Proxy Voting - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Broker-Dealer Status Issues Under the Advisers Act - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
State Law Issues Relevant to SEC-Registered Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Mutual Fund Asset Allocation Programs - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
The Advisory Contract - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Advertising by Investment Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
SEC Record-Keeping Requirements - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
Registration and Disclosure: The Form ADV - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
An Introduction to Variable Insurance Products - Financial Product Fundamentals: Law, Business, Compliance (Second Edition), Sunday, July 15, 2018
Wrap Fee Programs; and Appendix 10A - Financial Product Fundamentals: Law, Business, Compliance (Second Edition), Sunday, July 15, 2018
Proxy Voting - Mutual Funds and Exchange Traded Funds Regulation (Third Edition), Sunday, July 15, 2018
Introduction to Mutual Funds - Mutual Funds and Exchange Traded Funds Regulation (Third Edition), Sunday, July 15, 2018
Mutual Funds - Financial Product Fundamentals: Law, Business, Compliance (Second Edition), Sunday, July 15, 2018
Regulation of Mutual Fund Sales Practices - Mutual Funds and Exchange Traded Funds Regulation (Third Edition), Sunday, July 15, 2018
Introduction to Collective Investment Vehicles - Financial Product Fundamentals: Law, Business, Compliance (Second Edition), Sunday, July 15, 2018
Investment Adviser Compliance Programs - Mutual Funds and Exchange Traded Funds Regulation (Third Edition), Sunday, July 15, 2018
Live Seminar  Live Seminar Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, New York, NY
Global Investment Funds 2018, Thursday, September 20, 2018, New York, NY
Securities Law and Practice 2018: How the SEC Works, Monday, October 15, 2018, New York, NY
Bank Asset Management and Collective Investment Funds 2018, Tuesday, October 30, 2018, New York, NY
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, New York, NY
Broker-Dealer Retail Wealth Management 2019: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 06, 2019, New York, NY
Fiduciary Investment Advice 2019, Tuesday, April 02, 2019, New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2019, Monday, May 06, 2019, New York, NY
Fundamentals of Investment Adviser Regulation 2019, Monday, June 24, 2019, New York, NY
Fundamentals of Broker-Dealer Regulation 2019, Monday, July 22, 2019, New York, NY
Global Investment Funds 2019, Monday, September 09, 2019, New York, NY
Securities Law and Practice 2019: How the SEC Works, Thursday, October 17, 2019, New York, NY
Bank Asset Management and Collective Investment Funds 2019, Tuesday, October 29, 2019, New York, NY
Financial Services RegTech and Regulatory Compliance Forum 2019, Thursday, November 21, 2019, New York, NY
Live Webcast  Live Webcast Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, New York, NY
Global Investment Funds 2018, Thursday, September 20, 2018, New York, NY
Securities Law and Practice 2018: How the SEC Works, Monday, October 15, 2018, New York, NY
Bank Asset Management and Collective Investment Funds 2018, Tuesday, October 30, 2018, New York, NY
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, New York, NY
Broker-Dealer Retail Wealth Management 2019: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 06, 2019, New York, NY
Fiduciary Investment Advice 2019, Tuesday, April 02, 2019, New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2019, Monday, May 06, 2019, New York, NY
Fundamentals of Investment Adviser Regulation 2019, Monday, June 24, 2019, New York, NY
Fundamentals of Broker-Dealer Regulation 2019, Monday, July 22, 2019, New York, NY
Global Investment Funds 2019, Monday, September 09, 2019, New York, NY
Securities Law and Practice 2019: How the SEC Works, Thursday, October 17, 2019, New York, NY
Bank Asset Management and Collective Investment Funds 2019, Tuesday, October 29, 2019, New York, NY
Financial Services RegTech and Regulatory Compliance Forum 2019, Thursday, November 21, 2019, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, New Brunswick , NJ
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Pittsburgh, PA
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Indianapolis, IN
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Atlanta, GA
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Mechanicsburg, PA
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Philadelphia, PA
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, Boston, MA
Securities Law and Practice 2018: How the SEC Works, Monday, October 15, 2018, Cleveland, OH
Securities Law and Practice 2018: How the SEC Works, Monday, October 15, 2018, Indianapolis, IN
Securities Law and Practice 2018: How the SEC Works, Monday, October 15, 2018, Atlanta, GA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Philadelphia, PA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Atlanta, GA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Pittsburgh, PA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Cleveland, OH
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Indianapolis, IN
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, New Brunswick , NJ
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Mechanicsburg, PA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Columbus, OH
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Nashville, TN
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.