Investment Advisors: Best Practices in Securities Enforcement & Litigation
May 23, 2013
Location
Washington State Convention Center
800 Convention Place
Seattle, Washington 98101
USA
Description
Every day, billions of dollars trade hands on America’s securities markets. While some customers make their investment decisions solely on their own, many more depend on investment advisors and broker-dealers for advice.
Disputes arise. Some investors complain when they lose money and blame others for what were in fact their own decisions. In other cases, though, the investor’s losses can be traced to a failure of an investment advisor or broker-dealer to meet its legal obligations – losses that could have been avoided had the firm followed best practices in its compliance procedures to minimize claims and liability. Firms must be ready to respond to regulatory changes, enforcement initiatives and litigation risks.
Brokerage firms, which historically charge commissions, are regulated under the Securities Exchange Act of 1934 and rules imposed by the Financial Industry Regulatory Authority. Advisory firms, which typically charge asset-based fees, are regulated under the Investment Advisers Act of 1940 and Washington state law and regulations. But the Dodd-Frank Act clarifies that the SEC has the authority to hold broker-dealers to the same duties as registered investment advisors. While the seminar’s focus is on investment advisors, the knowledge transferred will be of equal importance to broker-dealers.
This seminar offers a distinguished faculty of experienced securities attorneys, FINRA and state regulators and compliance specialists who will highlight important and evolving issues in securities enforcement and litigation. Our panelists include a Director of Enforcement from FINRA in New York. They will provide tangible, concrete advice. Whether you are the CEO or chief compliance officer of an investment advisor, the outside counsel to an investment advisor or broker-dealer, or an attorney, this seminar will help you understand the laws, regulations, cases and agency procedures that will decide whether you are successful in achieving your goals.
Additional Information
Who Should Attend:
Attorneys/Legal Staff
Investment Advisors
Broker-Dealers
Hedge Fund Managers
Chief Executive Officers
Chief Compliance Officers
Chief Operations Officers
Risk Managers
Compliance and Operations Personnel
Financial Planners
Regulators
Arbitrators
This seminar is approved for the following credits
WA MCLE
This course has been approved for 6.25 hours of Washington MCLE credit, including 1.0 hours of ethics credit by the Washington State Bar. Self-Study credit may be available.
Accountants
This course may qualify for CPE credits; please check with your state board's requirements.
Organized by
The Seminar Group
18850 103rd Ave SW Ste 123
Vashon, Washington 98070
United States of America
More Information
Contact: Margi Amstrup
Email: margi@theseminargroup.net
Phone: 206-463-4400
Event's Website
