Events

20th Annual IA Compliance: The Full 360 Degree View East - Navigating the Shifting Landscape of IA Compliance

Washington

IA Watch’s will host its 20th annual IA Compliance conference from March 21-23rd, 2018 at the Capital Hilton in Washington, D.C. The conference will offer guidance on how to nimbly adjust your compliance program for this shifting regulatory arena so you can avoid embarrassing exam deficiencies and costly compliance missteps.

Baker Botts White Collar Partner and former Executive Vice President, Chief of Enforcement of the Financial Industry Regulatory Authority (FINRA) J. Bradley Bennett will speak on the “Dual Registrants/Broker-Dealers: FINRA Exam & Enforcement Priorities” breakout session panel. The panel will offer a peek into the regulator’s exam approach and details on a road map for getting through your next exams, what examiners will be looking for, and how you can head off trouble.  A “Top 5” list of problems examiners are seeing consistently will be covered as will current enforcement trends and how FINRA plans to bring greater transparency to its enforcement process going forward.

For more information on the conference, please click here
 

Read More