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The Philadelphia Compliance Roundtable

Thursday, September 12, 2019

Please join us for the next roundtable on September 12. Industry-knowledgeable panelists will discuss topics relevant to regulatory requirements and industry best practices. The roundtable will include a keynote address by Mark Dowdell, Assistant Regional Director, US Securities and Exchange Commission and a panel discussion covering a variety of topics relevant to you.

This roundtable will cover:

  • General Regulatory Update (Examination and Enforcement)
  • Rules, Cases, and Risk Alerts
  • Email Review
  • AML Suspicious Activity Reports
  • Enforcement Cases
  • Regulation Best Interest, Form CRS, and Adviser Interpretations
  • New Products: Trends in the Marketplace

Presenters:

  • John O’Brien
  • Christine Lombardo
  • Brian Baltz

For more information on this event, please contact Sharon James at +1.212.309.7181.

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