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Broker-Dealer and Adviser Regulatory Compliance Forum 2012

 February 22, 2012

CLE - Live Seminar


Brokerage and advisory firms’ compliance programs are under intense regulatory scrutiny. At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting 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 current regulatory initiatives and recent examination and enforcement activity to give attendees a multi-faceted perspective on requirements and best practices in this area.
  • FINRA’s new Suitability/Know-Your-Customer rules
  • Trends in SEC and FINRA examinations
  • FINRA’s new advertising rules
  • What are the lessons learned from recent enforcement actions?
  • How should conflicts of interest be disclosed and resolved?
  • What is the liability of the Chief Compliance Officer and Chief Legal Officer for failure to supervise?

Organized by

Practising Law Institute
810 Seventh Avenue
New York, New York

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