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IBDC - RIAC SPOTLIGHT SERIES

THE CHALLENGES OF IDENTIFYING AND DEFENDING SELLING AWAY AND MONEY LAUNDERING

Presentation (PDF)
  • W New York – Downtown, 8 Albany St, New York, NY 10006

  • Thursday, March 21, 2019

  • 4:30 - 7 PM Eastern Standard Time

  • 2.5 hours

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Summary

Selling away and money laundering continue to plague and challenge broker dealers and RIAs and create coverage issues for the carriers insuring them. Join these experts in the FI industry as they discuss:

  • Selling away and money laundering cases;
  • The issue of who is a “client” under the FINRA and SEC rules and how the definition of “client” or lack thereof under an E & O policy impacts the availability of coverage;
  • How the nature of a Broker-Dealer’s business increases its exposure to selling away and money laundering;
  • Underwriting considerations when assessing a Broker-Dealer’s risk for selling away and money laundering claims;
  • Tools necessary to discover selling away and money laundering;
  • The protocols that Broker-Dealers should implement to prevent selling away and money laundering.
THIS SEMINAR IS COMPLIMENTARY AND CLE CREDIT IS AVAILABLE TO ATTENDEES.

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Add to Calendar 03/21/2019 04:30 PM 03/21/2019 07:00 PM America/New_York IBDC - RIAC SPOTLIGHT SERIES Selling away and money laundering continue to plague and challenge broker dealers and RIAs and create coverage issues for the carriers insuring them. W New York – Downtown, 8 Albany St, New York, NY 10006

IBDC-RIAC SPOTLIGHTS IBDC-RIAC CONSORTIUM MEMBERS

Jeff Hines
Goodell, DeVries, Leech & Dann, LLP

Jeff Hines

Goodell, DeVries, Leech & Dann, LLP

Matt Kohel
Goodell, DeVries, Leech & Dann, LLP

Matt Kohel

Goodell, DeVries, Leech & Dann, LLP

George Mahaffey
Goodell, DeVries, Leech & Dann, LLP

George Mahaffey

Goodell, DeVries, Leech & Dann, LLP

Sheila Murphy
Bates Group

Sheila Murphy

Bates Group