Compliance Roundtable for Bank Affiliated Broker-Dealers

03/13/2014 01:00 p.m. - 02:30 p.m. EDT

Broker-Dealer Compliance + Regulation, Financial Services, and Finance

Hillel T. Cohn

Hillel T. Cohn

Webinar

Please join us for a webcast workshop designed to assist compliance professionals of bank affiliated broker-dealers in dealing with both current and unique regulatory challenges.

Topics Will Include:

  • Conflicts of Interest
  • Selling Affiliated Products
  • Suitability
  • Selling Bank Products as Part of a Strategy
  • Challenges in Branch Office Supervision and Inspections
  • Examination Priorities (FINRA and the SEC)
  • Self-Reporting and Remediation

Speakers:

  • Hillel Cohn, Morrison & Foerster
  • Jeffrey Suhanic, Chief Compliance Officer, PNC Investments LLC
  • Francois Cooke, Managing Director, ACA Compliance Group

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