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Morgan Lewis partner Jennifer L. Klass will be part of the panel discussion at the NRS Investment Adviser and Broker Dealer Compliance Fall Conference.
The NRS Investment Adviser and Broker Dealer Compliance Fall Conference will explore what organizations need to do to develop the most effective compliance program and explore key topics including regulation, training, examinations, marketing, SEC Red Flag Rule and identity theft requirements, enterprise risk management, AML, FATCA and Tax Reporting, Due Diligence and ERISA. Full program details can be found here.
October 9-11, 2013 | Conference
ADV Part 2 & beyond: Harmonizing your firm's disclosures
October 10, 2013 | 3:40 pm
Topics to be discussed:
Four Seasons Hotel Las Vegas
3960 S Las Vegas Blvd.
Las Vegas, NV 89119