Primer On Regulation of Wealth Management - New York

Monday, April 1, 2019
10:00 AM - 11:00 AM Eastern Daylight Time

Please join us for an overview primer on regulation of wealth management:


  • Regulators of Wealth Management Firms
  • Substantive Regulation of Wealth Management Firms
  • 2019 Key Areas of Regulatory Focus
  • Sample Current Issues

Please contact Sharon James at 212.309.7181 for additional information regarding this program.

CLE credit: CLE credit is currently pending approval in: CA, IL, NY, PA, TX and VA; and via reciprocity in CT, FL and NJ.