Event: Financial Services Industry Regulatory Compliance Forum 2017 (NY)

Event: Financial Services Industry Regulatory Compliance Forum 2017 (NY)
Date: 2017-11-08
Details: Nov. 8: "Financial Services Industry Regulatory Compliance Forum 2017," sponsored by the Practising Law Institute, will be held in New York, NY at PLI New York Center. Financial services firms’ corporate compliance and ethics programs continue to be under intense regulatory scrutiny. Many new rules have been issued which impact the manner in which financial services firms operate. At this program, attendees will get a solid foundation about 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 the major regulations and current examination and enforcement actions to give attendees a multi-faceted perspective on requirements and best practices in this area. Topics include: how conflicts of interest are identified and resolved; who the primary regulators are and how do they interact; and what you can learn from recent enforcement activity to name a few. For further information and to register for this event, call 800-260-4PLI or visit www.pli.edu

Regis Fee: $1,695.00.

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