6-Hour Program

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PLI’s blog edited by Clifford E. Kirsch on Regulatory Developments for BDs and IAs.


Financial services firms’ corporate compliance programs continue to be under intense regulatory scrutiny and face immense challenges brought upon by the FinTech revolution. Many new rules have been issued which impact the manner in which financial services firms operate. At the same time, these programs have to adapt to financial services regulators’ collection and analysis of a wide variety of data to help inform policy and to detect problematic behavior. At this program, attendees will get a solid foundation about the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review the major regulations and current examination and enforcement actions to give attendees a multi-faceted perspective on requirements and best practices in this area.

What You Will Learn

  • What are the important RegTech initiatives impacting financial services compliance programs?
  • Who are the primary regulators, how do they apply data analytics, and what can we learn from recent enforcement activity?
  • Learn about today’s hot topics being addressed by corporate compliance programs
  • Find out which practical aspects should be considered when integrating a compliance and risk program
  • Explore the major legal issues facing counsel advising financial services compliance programs

Special Features: One hour of Ethics credit

Program Levels: All Levels

Intended Audience: Attorneys practicing in the financial services industry will benefit from the program's thorough grounding regarding the basic regulatory regime governing financial services firms’ corporate compliance programs. Legal and compliance personnel already working in the industry will also benefit from updates and practical advice that will serve as a refresher.

Prerequisites: An interest in corporate compliance programs.

Advanced Preparation: None



Credit Details

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