Financial Service Registrant Compliance


November 19, 2014 - November 20, 2014

Glen Johnson will be co-lecturing at this event.

The conference will cover regulatory trends and priorities, including:

  • Get up-to-date on key regulatory trends and priorities.
  • Learn how to maintain an effective compliance program in an evolving environment
  • Examine the impact of the CRM II and best practices for being prepared
  • Explore recent actions and decisions of regulators, to better understand their priorities and expectations
  • Study the derivative regulatory framework, focusing on the impact of the latest reforms on reporting requirements and compliance
  • Uncover the higher standards being applied to exempt market securities dealers
  • Examine the legal framework and practical impact of the statutory, common law and other responsibilities of dealers and advisers
  • Get practical advice on meeting KYC & suitability obligations
  • Hear practical discussion on addressing fraud schemes and unethical behavior


For more information or to register for this event, visit the event website here.

Meet the Speakers