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Investment Management partner Jennifer Klass will be a panelist at SIFMA’s Compliance & Legal Society St. Louis Regional Seminar.
This one day seminar will feature presentations by leading securities regulators and industry professionals. Jen Klass will speak on a panel titled “Investment Advisory: Regulatory, Legal and Supervision Issues,” which will examine brokerage versus investment advisory account suitability, recent regulatory developments, recent enforcement actions, issues for dual registrants, and SEC examination issues and guidance.
Moderator
David Prince | General Counsel and Chief Compliance Officer, Stephens Investment Management Group, LLC
Panelists
Pete Driscoll | Managing Executive – OCIE, U.S. Securities & Exchange Commission
Joe Fleming | Chief Compliance Officer – Wealth Management Division, RBC Capital Markets LLC
Jennifer Klass | Partner, Morgan, Lewis & Bockius LLP
Kenneth Wagner | Partner and Broker/Dealer Compliance Officer, William Blair & Company, LLC