NRS 31st Fall Compliance Conference

Top Gun Success & Fighter Pilot Precision For Compliance Professionals
Professional Ethics: Ethical Decision-Making for Compliance Professionals
Proactive Solutions for Mitigating the Exploding Risk of Insider Trading and Other Trading Abuses
Mastering Critical Skills for High-Performance Compliance Professionals
Tracking the New ERISA Landscape: How Do the New Rules Apply to IAs and BDs?
Tales from the Dark Side: Compliance Breaches and Crisis Management
Developing Strong Procedures for Client Communications and Social Media
Compliance Concerns for Small Advisers including Merger and Succession Planning
Compliance Program Revisited: SEC’s Renewed Interest in CCO Competence and the Annual Review
Navigating the Complexities of Alternative Products, Private Placements and REITS
New Challenges in Marketing to Public Sector Clients: Lobbying Regulations, Pay-to-Play and a Special Focus on California Regulations
Tools from My Workbench: Seasoned Compliance Professionals Share Their Proven Methods for Getting the Job Done
Their Business is Your Business! Outside Business Activities- A New Perspective
Form PF: Expert Guidance on Understanding and Completing this New and Onerous Form
The Art and Science of Risk Assessment and Testing
Regulators Are Stepping Up Their Branch Office Reviews: Will Your Branch Office Audit Program Meet the Challenge?
Marketing Advisory Services: Advertising, Presenting Performance Data and the Impact of Social Media
It’s Not Just FINRA and the SEC - Other Regulatory Agencies Require BD Attention
Who’s Afraid of an SRO? Opposing Viewpoints on the Proposed Self-Regulatory Organization for Investment Advisers
SEC Enforcement’s Operation ADV: Readying Your ADV for the Increased Focus on Disclosures, Consistency and Conflicts
SEC Examinations and Enforcement: Adapting to Increased Scrutiny and Cooperation Between SEC Divisions
FINRA Examination and Enforcement Focus for 2012
Meeting the Challenge of the New Suitability Rule
SEC Examinations: Survival Strategies in a Changing Environment
Practical Compliance for Private Funds: Real-World Advice for theUnique Challenges of Private Fund Advisers

It’s Not Just FINRA and the SEC - Other Regulatory Agencies Require BD Attention

1:30 PM – 2:45 PM
Thursday, October 11

Speakers:
Jeff Abramczyk

This Session will discuss the rules, regulations and requirements broker-dealers may not be familiar with, offering some tips for compliance, policies and procedures as well as supervisory guidance. Attendees will obtain guidance in order to understand the influences of regulators whose rules, regulations and requirements broker-dealers now have to face. This session will cover:

The U.S. Treasury (Foreign Corrupt Practices Act, FinCEN)
U. S. federal laws (The FACT Act, signed into law in 2003)
The Dodd-Frank Wall Street Report and Consumer Protection Act
Jumpstart Our Business Startups Act

Back to the Agenda

© Copyright 2016 National Regulatory Services. All Rights Reserved.

RELX Group and the RE symbol are trademarks of Reed Elsevier Properties SA, used under license.