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The Knowledge Group Has Scheduled a Live Webcast on Trends, Developments and Updates in the Broker-Dealer Regulation: What to Expect in 2019 and Beyond Live Webcast


The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, announced today that it has scheduled a live webcast entitled: Trends, Developments and Updates in the Broker-Dealer Regulation: What to Expect in 2019 and Beyond.

New York, NY, February 02, 2019 --(PR.com)-- This one and half hour event is scheduled on Wednesday, February 20, 2019 at 12:00 pm - 2:00 pm (ET).

Event Synopsis:

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 provide 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
- Senior Investors
- Suitability
- Best Execution and Fixed Income Mark-up
- Regulation Best Interest
- Issues Involving Dual Registrants
- Cybersecurity
- Exam Priorities

Speakers/Faculty Panel

Debra A. Jenks
Partner/Shareholder
Jenks & Harvey LLP

Clint A. Corrie
Partner
Lewis Brisbois

Heather B. Middleton
Partner
Murphy & McGonigle

John Ivan
Managing Director
Capital Forensics, Inc.

For an updated list of the faculty panel, please visit: https://www.theknowledgegroup.org/webcasts/updates-in-the-broker-dealer-regulation/

About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group brings together the world's leading authorities and industry participants through informative two-hour webcasts that study the impact of changing regulations and help businesses succeed through proper regulatory compliance.

Visit http://theknowledgegroup.org/ for further information and inquiry.
Contact Information
The Knowledge Group
Thomas LaPointe, Jr., Executive Director
646-844-0200
Contact
www.theknowledgegroup.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org

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