Broker-Dealer and Adviser Regulatory Compliance Forum 2011
- 2.25.2011 | 9:00 AM - 1:30 PM
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PLI New York Center
810 Seventh Avenue
21st floor
New York, New York 10019
Brokerage and advisory firms' compliance programs are under intense regulatory scrutiny. At this half-day program, attendees will get a solid foundation about the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. This program is designed for legal and compliance professionals at broker-dealers and advisers and will benefit anyone entering the financial services industry.
WilmerHale partner Stephanie Nicolas is a featured speaker at this event, where she will be giving a presentation entitled "Supervisory Issues."
