5th Annual SPA and MoFo Structured Products Legal, Regulatory & Compliance Update 2013

01/17/2013 06:00 p.m. - 08:30 p.m.

Banking + Financial Services, Capital Markets, Structured Products, and Financial Institutions + Financial Services

Morrison & Foerster LLP 
39th Floor
1290 Avenue of the Americas
New York, NY 10104

Anna T. Pinedo

Anna T. Pinedo

Seminar

Joseph Marano
jmarano@mofo.com
(212) 336-4316

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:

  • Keith Styrcula, SPA

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 jmarano@mofo.com or (212) 336-4316.

New York and California CLE credit is pending.

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