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Broker-Dealer and Adviser Regulatory Compliance Forum 2012

Chair(s): Clifford E. Kirsch
Practice Area: Banking, Corporate & Securities
Published: Feb 2012 i Other versions can be found in the Related Items tab.
ISBN: 9781402417337
PLI Item #: 34315
CHB Spine #: B1932

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Redefining the Retail Relationship: The Emerging Regulatory Framework Governing Suitability, the Standard of Care and Disclosure
Chapter 2. Broker-Dealer and Investment Adviser Advertising
Chapter 3. Broker-Dealer Supervision
Chapter 4. Outsourcing Back-Office Functions to Third-Party Service Providers: Supervisory Responsibilities and Best Practices
Chapter 5. FINRA's 2011 Annual Regulatory and Examination Priorities Letter
Chapter 6. Speech by SEC Staff: The Role of Compliance and Ethics in Risk Management by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Index