See Credit Details Below
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.
What You Will Learn
After completing this program, you will understand
- the regulatory issues you and your clients need to focus on
- current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
- private securities litigation concerns for broker-dealers
- In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and the strategies and best tips to minimize regulatory exposure
- ethical issues facing lawyers in the financial services industry
Luncheon Speaker: Antonia M. Apps, Director, New York Regional Office, U.S. Securities and Exchange Commission
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