Broker-Dealer and Adviser Regulatory Compliance Forum 2010
- 9.17.2010 | 9:00 AM - 1:30 PM
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PLI New York Center
810 Seventh Avenue at 53rd Street
21st floor
New York, New York 10019
ThisPractising Law Institute (PLI) webcast covers thebrokerage and advisory firms' compliance programswhich are currently under intense regulatory scrutiny. At this half-day 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 current regulatory initiatives and recent examination and enforcement activity to give attendees a multi-faceted perspective on requirements and best practices in this area. Topics covered will include;
- What are the requirements governing broker-dealer and adviser compliance programs?
- What are the regulatory expectations concerning the establishment of a firm's supervisory structure?
- Hot topics such as the review and maintenance of electronic communications; the supervision of representative use of social media; the broker-dealer and adviser advertising rules.
- What are the lessons learned from recent enforcement actions?
- What to expect in your next SEC and FINRA examination?
- How should conflicts of interest identified and resolved?
- What is the liability of the Chief Compliance Officer and Chief Legal Officer for failure to supervise?
WilmerHale Partner Stephanie Nicolas is a featured speaker in this webcast, co-presenting a portion of the seminar titled "Privacy and Safeguarding Information."
