Event

SIFMA Compliance & Legal Society 2016 Regional Seminar

January 28, 2016

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