Meredith Jowers Lees, Partner, RumbergerKirk to Speak at The Knowledge Group’s Demystifying the Current Landscape of Broker-Dealer Regulation: Hot Buttons Explored
The Knowledge Group, the leading producer of regulatory focused webcasts, has announced today that Meredith Jowers Lees, Partner, RumbergerKirk will speak at its webcast entitled, “Demystifying the Current Landscape of Broker-Dealer Regulation: Hot Buttons Explored.” This event is scheduled for Wednesday, December 1, 2021 from 12:00 pm to 1:30 pm (ET).
- (1888PressRelease) November 08, 2021 - For further details, please visit:
https://knowledgewebcasts.com/know-portfolio/current-landscape-of-broker-dealer-regulation-cle/
About Meredith Jowers Lees
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.
About RumbergerKirk
RumbergerKirk provides litigation and counseling services in a wide range of civil practice areas including product liability, commercial litigation, construction, real estate, intellectual property litigation, securities litigation, financial services litigation, labor and employment law, bankruptcy, insurance coverage, professional liability and administrative law. Offices are located in Orlando, Tampa, Miami, Tallahassee and Birmingham.
Event Summary
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
About The Knowledge Group
Founded in November 2006, The Knowledge Group has been at the forefront of providing quality continuing education programs for lawyers, accountants, financial executives, risk and compliance specialists, human resources professionals, technology officers, and business consultants in a wide range of industries.
The Knowledge Group strives to be the best-in-class provider of continuing education by bringing forth relevant content you can’t get anywhere else.
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