2015 NSCP New York Regional Conference

National Society of Compliance Professionals

04/28/2015 08:00 a.m. - 05:00 p.m.

Corporate Finance | Capital Markets, Banking + Financial Services, Financial Institutions + Financial Services, and Broker-Dealer Compliance + Regulation

AMA Conference Center
1601 Broadway
New York, NY 10019

Speaking Engagement

Harrison Lawrence
(212) 336-4004

This one day conference provides a comprehensive review and clarification on current regulatory issues for both compliance industry professionals and service providers in the financial services industry. Our workshops and labs are led by experienced industry veterans and legal professionals who focus on the practical implementation of compliance policies and procedures.

Morrison & Foerster Partner Anna Pinedo will be speaking on two sessions designed for broker-dealers. The first is entitled “What You Need to Know About Suitability and Working with Customers”. Topics will include:

  • What are the regulators' expectations?
  • Issues concerning complex products (as defined by regulators);
  • Training expectations for supervisors and reps;
  • Surveillance, including the use of technology and exception reports; and
  • Special considerations for clients with capacity issues.

Ms. Pinedo’s second panel is titled “How to Facilitate Communications with the Public”. Discussion will include:

  • Social media updates including testimonials, third party posts, "likes" and pitfalls;
  • Overview of communication requirements, Rule 2210, private fund marketing;
  • Best practices for reviewing email and correspondence;
  • Compliance's role in the review of materials; and
  • Analyzing good and bad examples of materials.

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