Partner Anna Pinedo will participate in a panel discussion entitled “BD/MA – 2018 Regulatory Priorities & Best Practices” on day one of the conference. This session will focus on FINRA’s and SEC’s 2018 regulatory and examination priorities letters and the FINRA report on examination findings to provide insight to broker-dealers and municipal advisors to enhance their compliance, supervisory and risk management programs. Best practices areas will be covered for firms of various sizes to address these priorities. Attendees will leave with ideas to implement for their firm. Learning objectives include:
- Discuss sales practice risks and focus areas such as: suitability; cryptocurrencies; securities backed line of credit and high-risk firms, high-risk brokers;
- Address operational and financial risks, such as business continuity planning; cybersecurity; anti-money laundering practices and the FINRA report on examination findings topics;
- Examine significant new rules to be applicable this year, such as: Financial Exploitation; Customer Due Diligence Rule, Margin Requirements, and Trusted Contact; and
- Preparedness for municipal adviser examinations, continuing education and new MSRB rules.
For more information, or to register, please visit the event website.