Tracey Salmon-Smith, Partner,Drinker Biddle & Reath LLP to Speak at TKG’s FINRA’s Crackdown on High-Risk Brokers:Recent Trends and Developments You Can’t Ignore
TKG/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Tracey Salmon-Smith, Partner, Drinker Biddle & Reath LLP will speak at TKG’s webcast entitled: “FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore.” This event is scheduled for Tuesday, December 11, 2018 from 12:00 PM to 1:30 PM (ET).
- (1888PressRelease) October 31, 2018 - The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Tracey Salmon-Smith, Partner, Drinker Biddle & Reath LLP will speak at the Knowledge Group’s webcast entitled: “FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore.” This event is scheduled for Tuesday, December 11, 2018 from 12:00 PM to 1:30 PM (ET).
For further details, please visit:
https://www.theknowledgegroup.org/webcasts/finras-crackdown-on-high-risk-brokers/
About Tracey Salmon-Smith
Tracey Salmon-Smith is a partner at Drinker Biddle & Reath LLP. She assists clients in commercial disputes, employment litigation, securities law, and internal investigations. In the securities space, Ms. Salmon-Smith represents broker-dealers before the Financial Industry Regulatory Authority (FINRA) in arbitrations and mediations related to allegations of fraud, misrepresentation and unsuitability. She also handles expungement proceedings. As an employment litigator, Tracey has defended corporate clients against claims related to age, race and gender discrimination, workplace sexual harassment, whistleblowers, and wrongful discharge. She also advises clients on e-discovery and information management issues.
Previously, Ms. Salmon-Smith served as Director and Associate General Counsel at UBS Financial Services Inc., and served seven years as an Assistant United States Attorney for the Eastern District of New York (EDNY). During her time as an assistant U.S. attorney, Tracey served as both the Acting Chief of Environmental Litigation and the Chief of Bankruptcy.
About Drinker Biddle & Reath LLP
Drinker Biddle & Reath LLP is a national, full-service law firm providing litigation, regulatory and business solutions to public and private corporations, multinational Fortune 100 companies and start-ups. Building on a rich 168-year history, our more than 635 lawyers across 12 offices uphold our firm’s reputation for outstanding legal results and bring a sophisticated, forward-thinking approach to every client engagement. We draw upon a wealth of experience to assist clients in the financial services industry - including broker-dealers, investment banks, private banks, commercial lenders, private equity firms and asset managers - in staying ahead of today’s ever-changing economic and regulatory environments. Our attorneys defend clients in litigations, arbitration, regulatory investigations and represent them in mediation. In addition, we guide clients in navigating the maze of state and federal compliance requirements.
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
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register for an event, please visit: http://theknowledgegroup.org/
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