On March 19, 2012, Andrew Sidman will be a panelist at the SIFMA Compliance and Legal Society Annual Seminar. Topics include:
• Handling a Regulatory Investigation
• Representation and Conflicts
• Managing Multiple Investigations
• Discovery: Document Preservation and Production, "Voluntary" Interviews and Testimony
• Communicating with the Regulators
• Supervisory, Compliance Officer and Legal Department Exposure
• The Wells and "Wells-Like" Processes
• Settle or Litigate
On March 19, 2012, Brian Amery will be a panelist at the SIFMA Compliance and Legal Society Annual Seminar. Topics include:
• Private Client Sales Practice Issues
• Retailization of Complex Products - Disclosure, Training and Supervision
• New Product Approval Process and Policies
• Municipal Bonds - Dealing with FINRA, MSRB and SEC Expectations
• Advising Investors Who Want to Take Risk - Fiduciary and Suitability Concerns
• Update on Regulatory Senior or 'Vulnerable' Investor Developments
On March 21, 2012, Wes Holston will be a panelist at the SIFMA Compliance and Legal Society Annual Seminar. Topics include:
• Arbitration: Discovery, Expungement and Credit Crisis Cases
• Practice Under the New FINRA Discovery Rules
• Fixed Income Product Arbitration Claims
• Overcoming Hindsight Bias in Credit Crisis Cases
• Mediation and ADR Strategies
• New Expungement Procedures
• Communicating "Lessons Learned" to Business Clients.
Event
3/18/12-3/21/12