Is Finra’s And The Sec’s 2021 Exam Priorities A Blueprint For Claimants’ Attorneys?

Date: April 8, 2021
Time: 4:00 pm
Duration: 1 Hour
Where: Zoom Screen From the Comfort and Safety of your home

Past Webinar

Cybersecurity Risks

OBAs and PSTs - Including PPP loans received by reps/advisors

Communications and Sales - Including emerging digital communication risks

Private Placement Sales

Reg BI Compliance and Form CRS

Variable Annuities Sales Practices

Handling Senior and Compromised Clients

Discussion of Claim Trends

What do firms need to do to protect themselves against litigation and/or regulatory investigations?

SPEAKERS FOR THIS PRESENTATION ARE IBDC-RIAC ALLIANCE MEMBERS:

Founding partner, Kessler & Collins

Partner, O’Hagan Meyer

Partner, O’Hagan Meyer

Partner, Freeman, Mathis & Gary

Shareholder, Kessler & Collins