04/28/2015 08:00 a.m. - 05:00 p.m.
Capital Markets, Banking + Financial Services, Financial Institutions + Financial Services, and Broker-Dealer Compliance + Regulation
AMA Conference Center
New York, NY 10019
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:
Ms. Pinedo’s second panel is titled “How to Facilitate Communications with the Public”. Discussion will include:
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