The Knowledge Group Has Scheduled a Live Webcast on Demystifying the Current Landscape of Broker-Dealers Amidst the COVID-19 Pandemic
The Knowledge Group, the leading producer of regulatory focused webcasts, announced today that it has scheduled a live webcast entitled: Demystifying the Current Landscape of Broker-Dealers Amidst the COVID-19 Pandemic: What You Must Know and Do.
- (1888PressRelease) January 27, 2021 - This event is scheduled on Tuesday, January 26, 2021 from 12:00PM to 1:00PM ET.
Event Synopsis:
The emergence of the COVID-19 pandemic presented a myriad of challenges to the broker-dealer industry. Primarily, it has prompted a heightened risk of fraudulent activities in the U.S. and has opened an avenue for other COVID-19-related scams. With this, the Financial Industry Regulatory Authority (FINRA) established a COVID Fraud Task Force to monitor and mitigate potential fraud in the broker-dealer industry and U.S. markets.
As the regulatory paradigm remains uncertain, brokerage firms must be wary and vigilant of potential risk issues. They must also keep themselves in the loop of emerging developments to avoid drawbacks.
In a LIVE Webcast, trial attorney and corporate counsel Rogge Dunn (Rogge Dunn Group, PC) will provide a comprehensive discussion of the recent trends and developments in broker-dealer regulation during the COVID-19 pandemic. The speaker will also offer practical tips to avoid pitfalls and ensure compliance in this evolving climate.
Key topics include:
• Broker-Dealer Regulation: Trends and Updates
• FINRA's Examination Priorities on Broker-Dealers
• COVID-19 Implications
• Addressing Legal Risks and Pitfalls
• Best Compliance Practices
Speakers/Faculty Panel
Rogge Dunn
Managing Partner
Rogge Dunn Group, PC
For an updated list of the faculty panel, please visit:
https://www.theknowledgegroup.org/webcasts/broker-dealers-amidst-the-covid-19-pandemic/
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. To contact or register to an event, please visit: http://theknowledgegroup.org/.
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