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Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus
PLI’s blog edited by Clifford E. Kirsch.
Why You Should Attend
This program will address the many significant developments and trends in the regulation and oversight of broker-dealers. As uncertainty remains around whether any major regulatory change will be forthcoming, the regulators are forging ahead with their regulatory agendas and priorities. The DOJ, SEC, CFTC, state regulators and FINRA are focused on a number of hot issues including , in particular, cybersecurity, protection of retail investors and identification and management of market risks, and recent emerging issues such as Cryptocurrency and Initial Coin Offerings. This program brings together a distinguished faculty of regulators, industry experts and leading practitioners to discuss issues that will help you 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
- How the SEC, SROs and states fared over the past year in litigated matters
- Major cases impacting broker-dealers
- In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure
Who Should Attend
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