As all attorneys know or should know, every attorney is, ipso facto, an agent of each client, with concomitant fiduciary duties to the client. This CLE program provides a unique opportunity to understand the principles of agency law, giving attorney...

The investment management industry is under greater regulatory scrutiny than ever before. Combined with the threat of cyber breaches and an increase in investor activism, it is imperative for funds, broker-dealers and investment advisers to carefull...

This CLE program provides guidance on suspicious activity monitoring and other hot topics in AML (anti-money laundering). There is no shortage of "hot topics" in the Anti-Money Laundering (AML) compliance. As the industry has taken a leading approac...

This CLE program provides guidance on useful practices for protecting customer information, what to do in the event of a data breach and tackling other cyber security situations. Every firm needs a cybersecurity program. Is your current plan as comp...

This CLE session provides and overview of new developments and trends in enforcement, including enforcement priorities, as well as policy changes and clarifications, particularly regarding information requests. Panelists highlight noteworthy decisio...

This CLE program will highlight best practices related to the hiring and supervision of registered representatives in the retail space. After attending this session, you will: Understand effective practices for assessing risk when considering re...

This CLE session provides insights and observations from FINRA staff and industry practitioners on the existing trading environment for the fixed income market. Panelists will discuss the current state of liquidity within various fixed income produc...

This CLE program provides information regarding current fraud schemes from the front line regulators. After attending this session, you will be able to: Understand emerging trends in securities fraud and identify potential threats. Identify pote...

This CLE program will highlight institutional fixed income and equity sales and trading compliance concerns and related risk controls. Compliance professionals in these business lines face an array of challenging issues, everything from conflicts o...

This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effe...

This CLE program provides an overview of the roles and responsibilities of clearing and introducing firms. This session is intended to assist firms in making the most of the relationship with their clearing firm. Panelists discuss the roles and resp...

Presented by seasoned attorney and acclaimed author on intervention Mick Meagher, Esq., this CLE course offers insight into identifying the signs of addiction within the accepted guidelines and how to define addiction and addictive behaviors. The co...