2a. IA/IC/PF – Regulatory Review (OPEN)


Hear directly from SEC and NFA regulators to help compliance professionals understand and manage the current regulatory landscape, regulatory initiatives and their impact to your business. Attendees will have the opportunity to submit questions anonymously. This session is open to regulators and members of the press.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• Understand what the regulators see as the current risks to investors, investment firms and the broader market, given the economic developments over the last year
• Understand what the SEC and NFA view as their current and future priorities and how those may impact your businesses and Compliance Programs
• Discuss where the SEC and NFA stand on new rules and rule proposals given the administration’s statement regarding withdrawing rules at the same time
• Understand how rules and regulations in foreign jurisdictions play a role in the rulemaking process here in the U.S. (GDPR, European Directives on Money Laundering, etc.)

Sponsored by:

Panel                        Program Level: Intermediate Date: October 21, 2019 Time: 11:25 am - 12:40 pm Patricia Cushing Dan Kahl Bruce Karpati Anthony Kelly