SIFMA Compliance & Legal Society Annual Conference

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