HomeWebcastHeightened Enforcement on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should Know
Online CLE Broker-Dealers CLE

Heightened Enforcement on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should Know

Live Webcast Date: Wednesday, October 09, 2019 from 3:00 pm to 5:00 pm (ET)
Securities Law (CLE)Live Webcast
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Add to Calendar 10/09/2019 3:00 pm 10/09/2019 5:00 pm America/New_York The Knowledge Group Webinar: Heightened Enforcement on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should Know If you haven’t registered for this event please click here:https://www.theknowledgegroup.org/checkout/?add-to-cart=122156\r\n The brokerage landscape has been continuously evolving these past years and is being subjected to intensified regulatory scrutiny. The anticipated finalization of the Securities and Exchange Commission’s (SEC) improved standard of care known as the Regulation Best Interest (Reg BI), it is expected that the regulatory framework of dual-registered broker-dealers and investment advisers would change drastically. The Reg BI proposal aims to mitigate financial conflicts by obliging brokers to put their client’s financial interests ahead of their own. \n \nWith these anticipated changes, being in the know of the latest updates is not the only concern of broker-dealers and investment advisers, it is also important to improve compliance capabilities and performance to avoid potential risk and pitfalls. \n \nIn this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide and present an in-depth analysis of the fundamentals as well as recent enforcement trends involving dually registered broker-dealers and advisers. Speakers will also tackle all important compliance practices surrounding this significant topic. \n \nSome of the major topics that will be covered in this course are: \n \n \n Dually Registered Broker-Dealers and Advisers: Trends and Developments \n Best Compliance Practices and Obligations \n Risks and Pitfalls \n Opportunities and Challenges \n Future Implications and Outlook \n \n \n  \n https://www.theknowledgegroup.org/webcasts/dually-registered-broker-dealers-and-advisers/

Online CLE Broker-Dealers

Join us for this Knowledge Group Online CLE Broker-Dealers Webinar. The brokerage landscape has been continuously evolving these past years and is being subjected to intensified regulatory scrutiny. The anticipated finalization of the Securities and Exchange Commission’s (SEC) improved standard of care known as the Regulation Best Interest (Reg BI), it is expected that the regulatory framework of dual-registered broker-dealers and investment advisers would change drastically. The Reg BI proposal aims to mitigate financial conflicts by obliging brokers to put their client’s financial interests ahead of their own.

With these anticipated changes, being in the know of the latest updates is not the only concern of broker-dealers and investment advisers, it is also important to improve compliance capabilities and performance to avoid potential risk and pitfalls.

In this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide and present an in-depth analysis of the fundamentals as well as recent enforcement trends involving dually registered broker-dealers and advisers. Speakers will also tackle all important compliance practices surrounding this significant topic.

Some of the major topics that will be covered in this course are:

  • Dually Registered Broker-Dealers and Advisers: Trends and Developments
  • Best Compliance Practices and Obligations
  • Risks and Pitfalls
  • Opportunities and Challenges
  • Future Implications and Outlook

 

Agenda

Meghan J. Carey, Attorney
Murphy & McGonigle

Timothy C. Foley, Counsel
Alston & Bird LLP
  • Regulation Best Interest – Run-through and Status; Form CRS
  • WSPs and Supervision - Overlap/Gaps Between Functions
  • Disclosure Issues – Compensation; Disciplinary History; Performance; Roboadvice
  • Conflicts – Selection of Fee-Based vs. Brokerage; Use of Affiliates; Best Execution; 529 Initiative
  • Other Issues:
    • Cybersecurity/Safeguarding Customer Information
    • AML
    • Digital Assets

Who Should Attend

  • Broker-dealers
  • Investors
  • Financial Advisers
  • Investment Advisers
  • Banking and Finance Professionals
  • Risk and Compliance Officers
  • In-house Counsel
  • Securities Attorneys
  • Securities Lawyers
  • Other related professionals

Online CLE Broker-Dealers

Meghan J. Carey, Attorney
Murphy & McGonigle

Timothy C. Foley, Counsel
Alston & Bird LLP
  • Regulation Best Interest – Run-through and Status; Form CRS
  • WSPs and Supervision - Overlap/Gaps Between Functions
  • Disclosure Issues – Compensation; Disciplinary History; Performance; Roboadvice
  • Conflicts – Selection of Fee-Based vs. Brokerage; Use of Affiliates; Best Execution; 529 Initiative
  • Other Issues:
    • Cybersecurity/Safeguarding Customer Information
    • AML
    • Digital Assets

Online CLE Broker-Dealers

Online CLE Broker-Dealers

Meghan J. CareyAttorneyMurphy & McGonigle

Online CLE Broker-Dealers

Timothy C. FoleyCounselAlston & Bird LLP

Tim Foley is a counsel at Alston & Bird and based in Washington D.C.  Tim advises bulge-bracket investment banks and other top-tier financial institutions, particularly U.S.-registered broker-dealers, in regulatory compliance and enforcement matters involving the SEC, FINRA, self-regulatory (SRO) agencies and state and foreign regulatory agencies. Tim has extensive knowledge of trading operations and sales practices of institutional and retail broker-dealers.


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Online CLE Broker-Dealers

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   Live Webcast

Prerequisite:
   General knowledge of securities regulation

Course Code:
   148114

NY Category of CLE Credit:
   Areas of Professional Practice

Total Credits:
    2.0 CLE

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About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

Murphy & McGonigle serves the litigation, enforcement defense, and regulatory counseling needs of clients across the full spectrum of the financial services industry – from national banks, broker-dealers, investment advisers, and hedge funds, to national and international securities markets and exchanges. Many of the firm’s partners formerly served in senior positions in the SEC, US Department of Justice, FINRA, CFTC, and the New York State Department of Financial Services, and several served in senior executive positions in major financial institutions on Wall Street.

Website: https://www.mmlawus.com/

Founded in 1893, Alston & Bird is a leading national law firm and has offices in Atlanta, Beijing, Brussels, Charlotte, Dallas, Los Angeles, New York, Raleigh, San Francisco, Silicon Valley, and Washington, D.C. The firm's attorneys provide a full range of services to domestic and international clients conducting business around the world. Counseling clients from what was initially a local context quickly expanded to regional, then national levels, and now spans a global economic environment. Alston & Bird has overlaid its broad range of legal skills and business knowledge with a commitment to innovation and technology.

Website: https://www.alston.com/en

Tim Foley is a counsel at Alston & Bird and based in Washington D.C.  Tim advises bulge-bracket investment banks and other top-tier financial institutions, particularly U.S.-registered broker-dealers, in regulatory compliance and enforcement matters involving the SEC, FINRA, self-regulatory (SRO) agencies and state and foreign regulatory agencies. Tim has extensive knowledge of trading operations and sales practices of institutional and retail broker-dealers.

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