Stephen J. Huschka, Associate, Kessler Collins, P.C. to Speak at The Knowledge Group’s Webcast
The Knowledge Group, the leading producer of regulatory focused webcasts, has announced today that Stephen J. Huschka, Associate, Kessler Collins, P.C. 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 19, 2021 - For further details, please visit:
https://knowledgewebcasts.com/know-portfolio/current-landscape-of-broker-dealer-regulation-cle/
About Stephen J. Huschka
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.
About Kessler Collins, P.C.
The attorneys of Kessler Collins have a wealth of education and experience. Yet despite the scope of credentials you would be hard pressed to find a more accessible firm. We thrive on interacting with our clients, and take pride in the many long-term relationships we have cultivated. These relationships continue because we invest in our clients by providing services that enhance their business and increase their success.
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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