Choose Site

Conferences and Speeches

PLI Dually Registered Broker-Dealers and Advisers – Regulatory, Compliance and Enforcement 2019

Tuesday, February 6, 2018

Morgan Lewis’s partner Jennifer Klass will be speaking on a panel “The Regulatory Framework” at PLI’s 2019 Dually Registered Broker-Dealers and Advisers – Regulatory, Compliance and Enforcement on February 6, 2019.

At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current regulatory initiatives and recent examination and enforcement activity to give attendees a multi-faceted perspective on requirements and best practices in this area.

What You Will Learn

  • SEC and FINRA scrutiny of broker-dealer supervision of advisory activity
  • The SEC’s Reg BI initiative and developments regarding the SEC’s Uniform Standard of Care Initiative
  • What are the limits and extent of FINRA’s jurisdiction with respect to broker-dealer advisory activity
  • What are the lessons learned from recent SEC and FINRA enforcement actions?
  • Current exam initiatives