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).
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
- Best Execution and Fixed Income Mark-up
- Regulation Best Interest
- Issues Involving Dual Registrants
- Exam Priorities
Debra A. Jenks
Jenks & Harvey LLP
Clint A. Corrie
Heather B. Middleton
Murphy & McGonigle
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.