PLAY RECORDING

Overview:

Broker-dealer regulations remain to be evolving and challenging. Scrutiny of anti-money laundering (AML) programs continues to be a top priority, as the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) bring significant AML-related enforcement actions against member firms. Other challenges that confront legal and compliance practitioners include the intensified standard of conduct rules governing investment recommendations to retail clients and the emerging forms of trading platforms.

In a LIVE CLE Webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss the significant and latest issues in broker-dealer regulation. Speakers will also offer practical compliance strategies and risk mitigation tips in today’s evolving legal climate.

Key topics include:

  • Recent Broker-Dealer Regulatory Developments
  • Notable Enforcement Actions – Takeaways
  • Addressing Current and Emerging Risks and Pitfalls
  • Best Compliance Strategies
  • An Outlook Under the Biden Administration

Credit:

Course Level:

Intermediate

 

Advance Preparation:

Print and review course materials

 

Method of Presentation:

On-demand Webcast (CLE)

 

Prerequisite:

General knowledge of broker-dealer regulations

 

Course Code:

149682

 

NY Category of CLE Credit:

Areas of Professional Practice

 

Total Credits:

1.5 CLE

Speaker Panel:

Meredith Jowers Lees, Partner
RumbergerKirk

Meredith Jowers Lees focuses her practice on commercial litigation, with extensive experience in securities and financial litigation. She has represented broker-dealers, including clearing brokers, in state and federal court and in FINRA arbitration in a wide variety of disputes including customer claims, employment disputes, member-to-member claims, fraud claims, suitability claims, churning claims, and trust-related claims.

Robert Moreiro, Partner
Practus, LLP

Robert has close to 20 years of considerable experience in financial services, advising registered investment advisers and broker-dealers regarding regulatory and compliance issues. With a deep understanding of the federal securities laws, Robert provides registered investment advisers, broker-dealers, and other financial institutions comprehensive and diverse services relating to all aspects of the federal securities laws, FINRA rules, and BSA/AML and OFAC regulations. He has represented registered investment advisers, broker-dealers, and individuals being examined, investigated, and prosecuted by the SEC, FINRA, other self-regulatory organizations and state regulators. He has assisted several clients in establishing SEC and state registered investment advisers including drafting and filing all of the required documentation including creating the compliance program plus all applicable policies and procedures.

Stephen J. Huschka, Associate
Kessler Collins, P.C.

Stephen is an associate at Kessler Collins, P.C. where he represents clients in complex disputes, trials, and arbitrations. His practice primarily focuses on resolving shareholder, intellectual property, breach of fiduciary duty, and breach of contract disputes. In this role, Stephen has successfully represented companies, officers, directors, accountants, broker-dealers, and other professionals in venues scattered throughout the country. He also represents individuals and companies under investigation by governmental and non-governmental agencies.  In his practice, Stephen has consistently received recognition from his colleagues and opponents alike—being named a Rising Star for business litigation by Super Lawyers from 2019 through 2021.

Agenda:

SEGMENT 1: Robert Moreiro, Partner

Practus, LLP

  • SEC and FINRA Priorities for 2021
  • SEC Division of Examinations Risk Alert Reminding Broker-Dealers Of Their Obligations Related to AML Rules and Regulations
  • FINRA Low-Priced Securities Guidance For Broker-Dealers
  • FINRA AML Red Flag Guidance for Broker-Dealers
  • FINRA Regulatory Notice 21-36 - FINRA Encourages Firms to Consider How to Incorporate the Government-wide Anti-Money Laundering and Countering the Financing of Terrorism Priorities Into Their AML Programs
  • Recent Enforcement Actions

SEGMENT 2: Meredith Jowers Lees, Partner

RumbergerKirk

  • Supervision of personal device use
  • Litigation risks associated with the Care Obligation of SEC Reg BI
  • Preparing for Reg BI exams

SEGMENT 3: Stephen J. Huschka, Associate

Kessler Collins, P.C.

  • Broker-dealer supervision requirements with respect to registered representatives operating as part of independent, third-party RIAs; and
  • The effect that ongoing GPB litigation has on the application of Blue Sky laws to broker-dealers and RIAs.

Date & Time:

Wednesday, December 01, 2021

12:00 pm to 1:30 pm (ET)

Materials:

Download Course Materials

Who Should Attend:

  • Broker-Dealers
  • Investors
  • Financial Advisers
  • Investment Advisers
  • In-House Counsel
  • Securities Lawyers

SPEAKERS

Meredith Jowers LeesPartner
RumbergerKirk
Robert MoreiroPartner
Practus, LLP
Stephen J. HuschkaAssociate
Kessler Collins, P.C.

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