SIFMA Compliance & Legal Society Annual Seminar

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.