Join NRS at their Spring 2018 Conference – Compliance Agility: Risk, Resources & Technology where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt agile procedures to compliance programs.
Morgan Lewis associate Brian Baltz will participate as a featured speaker on the topics of Trading Risks and Compliance Resources and Exploring the Application of FINRA’s New Rules and Examinations for 2018.
Trading Risks and Compliance Resources
Trading practices and resulting compliance risks vary broadly from firm to firm depending upon investment strategies and programs employed, the types of securities traded, firm structure and resources, among other things. This session will explore the application of regulatory requirements, expectations and best industry practices to common trading programs to identify risks and aid in the sensible utilization of limited compliance resources to meet those obligations.
Exploring the Application of FINRA’s New Rules and Examinations for 2018
In 2018, FINRA ushered in new rules in addition to the upcoming adoption of several proposed rules. Our panelists will discuss the new Securities Industry Essentials examination, new tools to address suspected financial exploitation, proposed amendments to FINRA Rule 4210, recent guidance on digital assets, and other items identified in the latest FINRA Regulatory and Examination Priorities Letter.