CONFERENCE PRESENTATIONS

Abundance & Imbalances

IBDC – RIAC – INVESTIGATION

Seven Ways to Avoid an Anti-Money Laundering Action

Finra’s New Oba Rule

Potential Benefits and Potential Issues

What’s All This Fiduciary Talk About

Mutual Fund Due Diligence and the Supervision of Dually Registered Representatives

Firms’ Obligations To Protect Npi When Transitioning Advisors

From Bice To Reg Bi – Where Are We Going?

Practical Aspects Of Big And Little Data

in Regulatory Matters and Litigation

Responding To Subpoenas

Minimizing The Detection To Recovery Timeframe

Ethical Issues For Ethical In-house Counsel

Reconciling Sec & Finra

Examinations in Complex Products and Business Practices