Jessica L. Mackaness, Attorney, Mackaness & Ideta to Speak at Proposed “Best Interest” Standard for Brokers
The Knowledge Group, has announced today that Jessica L. Mackaness, Attorney, Mackaness & Ideta will speak at the Knowledge Group’s webcast entitled: “Proposed “Best Interest” Standard for Brokers: What Is It and Why You Need to Know LIVE Webcast.”
- (1888PressRelease) November 06, 2018 - This event is scheduled for Friday, November 9, 2018 @ 12:00 pm - 2:00 pm ET.
For further details, please visit:
https://www.theknowledgegroup.org/webcasts/proposed-best-interest-standard-for-brokers/
About Jessica L. Mackaness
Jessica Mackaness is the Founding Partner of Mackaness & Ideta in San Diego, CA. She specializes in business and corporate litigation, securities arbitration and litigation, and employment litigation, representing investors, financial professionals, and commercial clients. In particular, Jessica has assisted many investors with recovering substantial financial losses caused by investment fraud, broker misconduct, and unsuitable recommendations. She has also represented investment advisors and securities industry professionals in regulatory defense matters involving the SEC, FINRA (formerly NASD), and state securities authorities. Relatedly, Jessica has assisted financial professionals with a variety of industry-related matters, including Broker Protocol advisement, Broker-Dealer and Registered Investment Advisory transitions, employment disputes such as wrongful termination claims, negotiating the expungement of incorrect or defamatory information on their U-5 forms and BrokerCheck, advising on licensing issues, negotiating and arbitrating promissory note matters, and litigating trade secret claims.
About Mackaness & Ideta
Mackaness & Ideta is a specialty law firm focused on securities and business law, financial services law, and business, securities, and employment litigation and arbitration. Founding partners Jessica Mackaness and Erik Ideta started Mackaness & Ideta with the goal of creating a law firm that felt accessible to both businesses and individuals who want quality legal services without the bureaucratic hassle of dealing with a traditional, large law firm.
Event Synopsis:
In an effort to clarify and enhance the existing regulatory requirements for broker-dealers, the U.S. Securities and Exchange Commission (SEC) recently released its “Best Interest” standard. According to SEC, the proposed regulation is "designed to enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products."
If adopted as proposed, the standard will require broker-dealers and persons associated with a broker-dealer to act in the best interest of a retail customer when providing recommendations to any transactions involving securities.
In this LIVE Webcast, a panel of thought leaders and professionals brought together by The Knowledge Group will discuss in depth the fundamentals as well as significant issues surrounding the Proposed “Best Interest” Standard for Brokers. Speakers will also identify recent trends, developments and updates surrounding this significant topic.
Key topics include:
• SEC’s “Best Interest” Standard for Brokers: An Overview
• Obligations and Compliance
• Common Red Flags
• Risks and Pitfalls
• Opportunities and Challenges
• Future Implications
• What Lies Ahead
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register for an event, please visit: http://theknowledgegroup.org/all-events-list
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