Cross-Border Considerations for Broker-Dealers and Advisers
Practising Law Institute’s Broker-Dealer and Adviser Regulatory Compliance Forum 2013
February 20, 2013
Location: New York, NY*
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.
Dechert attorney, Christopher Christian, will present a session on “Cross-Border Considerations for Broker-Dealers and Advisers.”
Click here for the Agenda of the PLI Broker-Dealer and Adviser Regulatory Compliance Forum 2013.