Join Heidi E. VonderHeide as she discusses how Regulation Best Interest is being implemented, examines post-effective date guidance and activity by the regulators, and shares what to expect during 2021 exams. Heidi will also...more
1/25/2021
/ Banking Sector ,
Broker-Dealer ,
Chief Compliance Officers ,
Continuing Legal Education ,
Corporate Counsel ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Services Industry ,
Fund Managers ,
Investment Banks ,
Investment Companies ,
Regulation Best Interest ,
Retail Banks ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Webinars
Ron Betman and Heidi VonderHeide will discuss the state of the law two years after Kokesh v. S.E.C., SEC’s Enforcement’s focus on conflicts of interest disclosure, and Regulation Best Interest (Reg BI)....more
11/27/2019
/ Banking Sector ,
Broker-Dealer ,
Conflicts of Interest ,
Continuing Legal Education ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Services Industry ,
Investment Companies ,
Kokesh v SEC ,
Regulation Best Interest ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Webinars