Litigation partner Ivan P. Harris will speak at the 2019 MMI Annual Conference which will bring together a who’s-who of thought leaders and decision-makers from across the investment advisory industry to examine and debate the critical factors and strategies that will drive success and separate winners and losers over the next decade.
Ivan will speak on a panel with Michael Freedman, Senior Vice President, Associate General Counsel, LPL Financial and Nina Weiss, Chief Compliance Officer, BNY Mellon | Pershing that will discuss current trends in SEC and FINRA Examination and Enforcement.
Money Management Institute (MMI) is the leading voice for the global financial services organizations that provide financial advice and professionally-managed investment advisory solutions to individual and institutional investors. Through programs focused on member interaction, education and professional development, data analytics and insight, next-generation initiatives, and thought leadership and advocacy, MMI supports and advances the growth of a diverse spectrum of investment advisory solutions that serve an evolving worldwide financial landscape. MMI member organizations are committed to the highest standards of fiduciary responsibility and ethical conduct and to creating the most successful outcomes for investors at every level of assets.
CLE credit: Application to the Investments & Wealth Institute® for CE credit towards the CIMA®, CPWA®, CIMC®, and RMA® certifications has been submitted.