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Broker-Dealer and Adviser Regulatory Compliance Forum 2013
Chair(s):
Clifford E. Kirsch
Practice Area:
Broker-dealers,
Securities and other financial products
Published:
Feb 2013
i
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ISBN:
9781402419430
PLI Item #:
41406
CHB Spine #:
B2003
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Structuring and Selling Structured Products
Chapter 2. Structured Thoughts 2012
Chapter 3. Good Walls, Better Compliance: OCIE’s Report
Chapter 4. FINRA Commences Sweep Request Relating to Conflicts of Interest
Chapter 5. Protection in the Firing Line
Chapter 6. Investment Adviser Advertising Developments: Focus on the Jobs Act
Chapter 7. The Investment Lawyer—Advertising Rules for Private Funds: A Post-Jobs Act Primer: Part 1 of 2
Chapter 8. Overview of Recent FINRA Rulemaking Regarding Communications with the Public and Suitability Obligations
Chapter 9. Offering Cross-Border Investment Products and Advisory Services to Clients in Latin America
Chapter 10. FINRA’s Newsroom Speeches: Remarks from Susan F. Axelrod, Executive Vice President, Member Regulation Sales Practice, at PLI’s Seminar on Broker-Dealer and Enforcement 2012
Chapter 11. Finra’s 2012 Annual Regulatory and Examination Priorities Letter
Chapter 12. Conflicts of Interest and Risk Governance: Remarks from Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, Before the National Society of Compliance Professionals
Chapter 13. Address at the Private Equity International Private Fund Compliance Forum: Remarks from Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Index
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