New York, NY, January 29, 2019 --(PR.com
)-- This event is scheduled for Friday, February 22, 2019 at 12:00 pm - 2:00 pm (ET).
For further details, please visit: https://www.theknowledgegroup.org/webcasts/updates-in-the-broker-dealer-regulation/
About Debra A. Jenks
Ms. Jenks has over 30 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.
About Jenks & Harvey LLP
Jenks & Harvey LLP is involved in various aspects of securities arbitration and litigation, broker-dealer compliance, regulatory and enforcement defense, registration matters, and representation of registered persons in retail and employment matters.
Broker-dealers are faced with a robust regulatory environment where regulatory focus is constantly changing and new rules are implemented. Practitioners must stay abreast of the issues and new developments to improve compliance and to mitigate unwanted risk.
Listen as a panel of distinguished professionals organized by The Knowledge Group provides the audience with the latest and emerging issues in broker-dealer regulation. Speakers, among other things, will discuss opportunities and challenges, provide practice tips and make predictions on what to expect in the years ahead.
Key issues that will be covered in this course are:
New and Pending Rule Changes
High Risk Brokers and Supervisory Issues
Best Execution and Fixed Income Mark-up
Regulation Best Interest
Issues Involving Dual Registrants
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group 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 for an event, please visit: http://theknowledgegroup.org/