Robert Moreiro, Partner, Practus, LLP 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 Robert Moreiro, Partner, Practus, LLP 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). End Quote

(1888PressRelease) November 08, 2021 - For further details, please visit:
https://knowledgewebcasts.com/know-portfolio/current-landscape-of-broker-dealer-regulation-cle/

About Robert Moreiro
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.

About Practus, LLP
Our innovative business model jettisons the costly overhead and over-staffing associated with typical law firms.

Practus offers what smart clients are seeking: knowledgeable attorneys, efficiency, and sensible economics—all of which foster great relationships.

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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