Morgan Lewis

Teaching At Wharton, with the FINRA Institute Philadelphia

  • date(s):

    June 3, 2008

  • location:

    Philadelphia

related attorney(s):

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Morgan Lewis's Georgia Bullitt will be speaking at this event.

Over five days, Wharton professors will explore a series of advanced-level regulatory and compliance topics that help participants build on previous courses.

Topics include:

  • In-depth analysis of the evolution of specific securities statutes and rules: review of federal securities statutes not previously examined, including the Investment Company Act, the Investment Advisers Act, the Securities Investor Protection Act and the Trust Indenture Act
  • Hiring issues: compliance, standards, and risks
  • Effective oversight of mutual fund products, compliance, and regulatory issues
  • Regulatory standards for the distribution and sale of variable insurance products
  • Derivatives and regulatory issues: use of financial derivatives, compliance, and regulatory issues
  • Suitability issues: practical challenges and solutions
  • Internal controls: supervisory tasks and systems with emphasis on implementation
  • State securities laws: their scope, requirements, and application
  • Regulatory interactions: best practices models
  • Regulatory challenges and future market trends

When:
June 3, 2008

Where:
Wharton School in Philadelphia
Philadelphia, PA

For more information, please visit the conference site.