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.