New York, NY, August 12, 2014 --(PR.com
)-- The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Robert V. Cornish, Jr., Partner, Phillips Lytle LLP will speak at the Knowledge Group’s webcast entitled: “Hot Topics in National Futures Association Audits 2014.” This event is scheduled for October 6, 2014 @ 10:00 am - 12:00 pm (ET).
For further details, please visit: http://theknowledgegroup.org/event_name/hot-topics-in-national-futures-association-audits-2014-live-webcast/
About Robert V. Cornish Jr.
Robert V. Cornish Jr. is a partner with Phillips Lytle LLP and focuses his practice on litigation, arbitration, regulatory and compliance matters for broker/dealers, investment advisors, hedge funds, commodity firms, institutional investors and family offices in the U.S. and abroad. He represents clients on FINRA and NFA arbitrations and court proceedings. He also represents securities and commodities registrants in connection with enforcement and disciplinary proceedings before FINRA, NFA, CFTC, SEC and state securities regulators. Having previously held positions of in-house counsel and Chief Legal & Compliance Officer with prominent investment firms, Mr. Cornish provides valuable insight and counseling for investment management clients with complex business management and marketing matters. Additionally, Mr. Cornish is a member of SIFMA Legal & Compliance Division, a certified speaker for CFA Institute Speaker’s Bureau, and an industry arbitrator for FINRA and National Futures Association. He graduated with a political science degree from Davidson College in 1989 and received his J.D. from Samford University, Cumberland School of Law in 1993.
About Phillips Lytle LLP
Phillips Lytle LLP is a premier regional law firm that is recognized nationally for its legal excellence. With offices in New York State, Washington, DC, and Canada, our attorneys serve a multinational client base including FORTUNE 1000 companies, global and regional financial institutions, not-for-profit organizations, middle market companies, startups, entrepreneurs and individuals on important matters affecting their businesses and personal wealth.
In this two hour live webcast, The Knowledge Group organized a panel of thought leaders and professionals that will provide an in-depth discussion on the latest trends and issues with regards to the National Futures Association audits.
Some of the major topics that will be covered in this course are:
− Frequency of NFA Audits
− How to Prepare for an Audit
− Practice Tips for During and After the Audit
− Areas of Focus
− Common Deficiencies on NFA Audits
− Latest issues and trends
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Group, LLC was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org/