PLI’s Broker-Dealer and Adviser Regulatory Compliance Forum 2013

02/20/2013 09:00 a.m. - 01:30 p.m.

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

The New York Hilton & Towers
1335 Avenue of the Americas
New York, NY 10019

Speaking Engagement

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

For presentation materials, click here.

Brokerage and advisory firms' compliance programs are under intense regulatory scrutiny. At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current regulatory initiatives and recent examination and enforcement activity to give attendees a multi-faceted perspective on requirements and best practices in this area.

Morrison & Foerster partner Anna Pinedo will be speaking on a panel called Complex Products.

PLI will provide CLE Credit

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