Wes will be speaking on: "Litigation–The Good, the Bad, and the Ugly". Topics will include: litigation case study and role play – you decide the case, discuss how suitability, training, failure to supervise and complex products are viewed from a litigation standpoint, and a discussion of recent cases and the extension of liability beyond the FA and management – a potentially dangerous trend.
Mark will be speaking on: "Risk 2013 & Beyond – What You Must Know".
Topics will include: regulatory change management/intelligence – processes & technology to ensure appropriate protocols to support new rules/regulations, escalation and reporting requirements and mechanisms for senior management, risk committees and boards, consistency in approach towards risk management and risk assessments with other assurance functions (audit, IT security, HR, legal, etc.), lessons learned from FINRA’s Risk Control Assessment (RCA), and regulators’ expectations for a strong risk management program and increased focus on conflicts of interest management.
The seminar runs from April 24-26 in Ft. Lauderdale, FL.