Broker-Dealer & Investment Adviser Examination and Enforcement Issues for 2018

We invited attorneys and compliance officers of broker-dealers and investment advisers to join us for a conference call on April 18 to discuss, among other topics:

• FINRA and SEC examination priorities, such as sales practice risks, market integrity, cybersecurity, AML, and operational and financial risks.
• State regulatory and enforcement updates regarding fiduciary issues for Massachusetts, New York, Nevada, and others.
• An overview of the SEC’s Share Class Selection Disclosure Initiative.

Listen to the Recording

Questions? Please contact liz.jutila@faegredrinker.com