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PLI’s blog edited by Clifford E. Kirsch on Regulatory Developments for BDs and IAs.
This program will address key developments and priorities in the regulation and oversight of broker-dealers. The current regulatory agendas are a mix of regular mainstays with new areas of focus including cybersecurity, digital assets, online distribution platforms, FinTech, Anti-Money Laundering, protection of retail investors and financial, market and operational risks, and COVID-19 related issues. Our distinguished faculty of regulators, industry experts and leading practitioners will share their insights and best practices to help you and your clients keep up with the changing landscape of the securities business and its regulatory oversight.
What You Will Learn
• Current regulatory issues being addressed by the regulators
• Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
• Private securities litigation impacting broker-dealers
• In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure
Luncheon Keynote: Richard R. Best, Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Program Level: Update
Intended Audience: In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.
Prerequisites: An interest in broker/dealer and investment management issues.
Advanced Preparation: None