The Structured Products Association and Morrison & Foerster are pleased to present this annual Legal, Regulatory & Compliance update to friends, clients and members on Thursday, January 17, 2013. The event is closed to press.
Join us for a timely presentation on developments in the legal-regulatory-compliance landscape. Hors d’oeuvres and cocktails will be served.
Topics:
- FINRA Communications Rules (effective in February 2013)
- Estimated value disclosures
- Areas of attention for FINRA and the SEC related to structured products
- Retail communications on an online, electronic forum
- Hedging related to structured products post Dodd-Frank
Confirmed Speakers:
- Rosalynn Cormier, Citigroup Global Markets Inc.
- Robert Dilworth, Bank of America Merrill Lynch
- Anna Pinedo, Morrison & Foerster
- Mike Solomon, FINRA
- Frank Weigand, HSBC Securities (USA) Inc.
- Additional speakers to be confirmed shortly
Moderated by:
As always for this event, space is limited and it’s likely to be at full capacity. Please reserve your space as soon as possible.
RSVP to Joe Marano at
or (212) 336-4316.
New York and California CLE credit is pending.