Regulatory Exams:

As a continuation of our informative panel from the 3rd Annual NY Customer Summit we’re going to have an in-depth exploration of the latest trends in regulatory exams.

Tougher oversight for financial firms is one of the few certainties as we look to the future of regulation. Record-setting fraud cases, looming regulatory reform and shrinking tolerance for malfeasance of any kind provide the background for an aggressive overhaul by the SEC and FINRA of their examination programs. Firms can expect this new approach to include more sweep exams, stricter deadlines to produce information, increased pre-exam preparation, and highly specialized and knowledgeable examiners.

Join us for a complimentary webcast, Regulatory Exams: New Environment, New Priorities on Thursday, November 19, 2009 at 2:00pm EST with top industry experts, while they discuss:

• Forthcoming examination priorities
• What firms can do to ensure they are fully prepared
• The resources you can use to successfully meet obligations and reduce risk

Speakers:

AJ Bosco, Director, Deutsche Bank Securities Inc

Donald Lopezi, Director, Department of Member Regulation, FINRA

Richard D. Marshall, Partner, Ropes & Gray

Janaya P. Moscony, CFA, President, SEC Compliance Consultants, Inc

Thursday
November 19, 2009

2:00pm EST

1 hour