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PLI’s blog edited by Clifford E. Kirsch on Regulatory Developments for BDs and IAs.
Why You Should Attend
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. 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.
• 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
In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.
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