Cross-Border Concerns:
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FMA 2012 Securities Compliance Seminar

4/25/2012

Banking + Financial Services, Capital Markets, Structured Finance + Securitization, and Financial Institutions + Financial Services

Sir Francis Drake Hotel
450 Powell Street
San Francisco, CA 94102

Hillel T. Cohn

Hillel T. Cohn

Sponsorship

By attending this seminar, participants will acquire an understanding of (as well as tools for dealing with) the challenges and regulatory “hot button” priorities currently facing compliance professionals, risk managers and internal auditors in the bank-affiliated broker-dealer industry. The focus is on current compliance topics, new rules or interpretations and regulatory developments, including a Dodd-Frank regulatory reform update. Attendees are given the opportunity to sharpen their skills through general, workshop and interactive sessions with their peers, industry leaders and regulators.

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