SIFMA Compliance & Legal Society 2016 Regional Seminar

This one day seminar will feature presentations by leading securities regulators and industry professionals.

Discussion topics will include:

• SEC and FINRA Exam Priorities and Enforcement Trends
• Wearing Two Hats: The Perils of Being a Dual Registrant
• Addressing the Ever Expanding Expectations of AML Programs
• Navigating Senior Investor Issues
• Litigation and Arbitration Trends and Developments

Panel Name
Litigation & Arbitration Trends and Developments

Moderator
I. Scott Bieler, Senior Vice President and General Counsel – Fidelity Investments

Panelists
Brian F. Amery, Managing Partner – Bressler, Amery & Ross, P.C.
Lisa M. Bertain, Shareholder – Kessal, Young & Logan
Timothy P. Burke, Partner – Morgan, Lewis & Bockius LLP