transcript   Transcript

SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management

Recorded on: Feb. 10, 2017
Running Time: 01:15:20

Full Transcript:

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Taken from the Web Program Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants recorded February, 2017 in New York.

SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management [01:15:20]
  • Determining whether a client is a BD or IA client—or both
  • Monitoring and Controls related to reverse churning
  • Assessing Client Suitability of Advisory Programs  and Satisfying fiduciary obligations
  • Identifying and Mitigating Conflicts
  • Effecting Complaint Principal Trades in an Advisory Program
  • Complying with FINRA and SEC Advertising requirements
  • SEC Enforcement and Exam Activity
Lisa M. Francomano, Joseph M. Gallo, Cece Baute Mavico, John C. Munch

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

  • FINRA Regulatory Framework Applicable to Dual Registrants
    Cece Baute Mavico

Presentation Material

  • Broker-Dealer Retail Wealth Management: Supervisory Challenges Operating as a Dual-Registrant
    Lisa M. Francomano, Joseph M. Gallo, Cece Baute Mavico, John C. Munch
Lisa M Francomano ~ Executive Director, CCO, UBS Financial Services
Joseph M Gallo ~ Senior Counsel, AVP, Lincoln Financial Network
Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial
John C Munch ~ General Counsel, SEI Investments Distribution Co.
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