Demystifying the Current Landscape of Broker-Dealer Regulation: Hot Buttons Explored
Demystifying the Current Landscape of Broker-Dealer Regulation: Hot Buttons Explored
Broker-dealer regulations remain to be evolving and challenging. Scrutiny of anti-money laundering (AML) programs continues to be a top priority, as the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) bring significant AML-related enforcement actions against member firms. Other challenges that confront legal and compliance practitioners include the intensified standard of conduct rules governing investment recommendations to retail clients and the emerging forms of trading platforms.
In a LIVE CLE Webcast, partner Meredith Jowers Lees will join a panel assembled by The Knowledge Group to discuss the significant and latest issues in broker-dealer regulation. Speakers will also offer practical compliance strategies and risk mitigation tips in today’s evolving legal climate.
Key topics include:
- Recent Broker-Dealer Regulatory Developments
- Notable Enforcement Actions – Takeaways
- Addressing Current and Emerging Risks and Pitfalls
- Best Compliance Strategies
- An Outlook Under the Biden Administration
