Periodically, IBDC-RIAC will offer an afternoon seminar in New York City to “Spotlight” the talented IBDC-RIAC experts. The seminar will address a topic pertinent and timely to independent broker-dealers, RIAs and the insurance professionals who provide errors and omissions insurance to this community. The “Spotlight Series” events are designed to provide targeted and timely risk management strategies while also addressing insurance underwriting and claims-related issues.
Hear these industry experts share their experiences about defending regulatory and arbitration matters, and the techniques they employ to obtain the best outcomes for their clients. There is ample opportunity for questions and networking during the cocktail hour following the presentations. New York State continuing legal education credits are available for attendees.
The March 21, 2019 Spotlight Series presented: The challenges of Identifying and Defending Selling Away and Money Laundering.Click here to access the Power Point Presentation of the March 21 seminar.