The Knowledge Group Has Scheduled a Live Webcast FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore

The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, announced today that it has scheduled a live webcast entitled: FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore. This 1.5-hours event is scheduled on Tuesday, December 11, 2018 from 12:00 PM to 1:30 PM (ET). End Quote

(1888PressRelease) November 05, 2018 - The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, announced today that it has scheduled a live webcast entitled: FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore. This 1.5-hours event is scheduled on Tuesday, December 11, 2018 from 12:00 PM to 1:30 PM (ET).

Event Synopsis:
In April 2018, the Financial Industry Regulatory Authority (FINRA) issued a guidance on when intensified broker-dealer oversight of associated persons, may be necessary. The guidance proposes rule amendments that would heighten restrictions on member companies employing brokers with history of past misconduct. Reminding broker-dealers of their supervisory responsibilities, Regulatory Notice 18-15 requires FINRA member firms to implement supervisory procedures for associated persons.

Our panel of key thought leaders and practitioners organized by The Knowledge Group will offer a discussion of the fundamentals as well as recent updates regarding the latest and significant issues surrounding FINRA’s regulation of high-risk brokers. This LIVE Webcast aims to help you to avoid common pitfalls and risk issues by adopting best compliance practices in light of the guidance.

Key topics include:
• FINRA’s Guidance on High-Risk Brokers: Overview
• Recent Enforcement Trends
• Overlap with State Regulatory Focus
• Regulatory Updates
• Emerging Pitfalls and Risks
• Best Practices: Supervision and Compliance

Speakers/Faculty Panel:
Rogge Dunn Group, PC
Rogge Dunn
Partner

Drinker Biddle & Reath LLP
Tracey Salmon-Smith
Partner

Sidley Austin LLP
Corin Swift
Partner

For an updated list of the faculty panel, please visit:
https://www.theknowledgegroup.org/webcasts/finras-crackdown-on-high-risk-brokers/

About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group brings together the world's leading authorities and industry participants through informative webcasts that study the impact of changing regulations and help businesses succeed through proper regulatory compliance.

Visit http://theknowledgegroup.org/ for further information and inquiry.

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