Event: Dually-Registered Broker-Dealers and Advisers-Regulatory, Compliance and Enforcement 2019 (NY)

Event: Dually-Registered Broker-Dealers and Advisers-Regulatory, Compliance and Enforcement 2019 (NY)
Date: 2019-02-06
Details: Feb. 6: "Dually-Registered Broker-Dealers and Advisers-Regulatory, Compliance and Enforcement 2019" sponsored by the Practising Law Institute, will be held in New York, NY at the PLI New York Center. Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny—including an increasingly demanding examination focus from the SEC, FINRA and the states. At the same time, the regulatory framework applying to dual-registrants is about to change dramatically with the anticipated finalization of the SEC’s enhanced standard of care applicable to broker-dealers. 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. For further information and to register for this event, call 800-260-4PLI or visit www.pli.edu

Regis Fee: $895.00.

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