Description:

Attendance at this session will help you find answers to the following questions:

• Should investment advisers and broker-dealers enter into employment agreements with key personnel and what form should these agreements take?

• What are the major concerns related to U4 and U5 disclosure, and how does one balance the public policy in favor of disclosure versus risk of defamation claims and regulatory scrutiny?

• Who "owns" the client relationship – the registered representative, the firm or both?

• What are the likely outcomes for firms responding to employment grievances?

• What is the interplay between employment law considerations and your firm’s ability to discipline employees for violations of its code of ethics or conduct?

• Are the employment laws and the securities laws and regulations at odds with one another?
   

For whom:

Compliance Officers, legal counsel, managers and others working in the compliance area.

Learning Objectives:

Learn about how employment law issues affect your firm and its registered personnel.

Pre-requisites for participation:

No prerequisites are required. However, attendees can benefit by reviewing federal and state requirements pertaining to U4 and U5 disclosure.