Event
3/17/13-3/20/13
On March 18, 2013, Brian Amery and Andrew Sidman will be panelists at the SIFMA Compliance and Legal Society Annual Conference.
Brian Amery will be a panelist at the "Private Client Sales Practice Issues" session. Topics will include:
- Retailization of Complex Products: Approval Process, Disclosure, Training, and Supervision
- 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
- Commissions vs. Fees: What’s Best for the Customer
Andrew Sidman will be a panelist at the "Protecting Material Non-Public Information" session. Topics will include:
- Developing a Control Room
- JOBS Act and Investment Banker/Analyst Conflicts
- Wall Crossings: Considerations Around Approvals, Tracking and Frequency
- Use of MNPI in Enterprise Risk Management
- Legal and Regulatory Developments