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| Home : The Knowledge Group Has Scheduled a Live Webcast on FINRA Arbitration and Enforcement |
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Mar 14
2018 |
The Knowledge Group Has Scheduled a Live Webcast on FINRA Arbitration and Enforcement |
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The Knowledge Group Has Scheduled a Live Webcast on FINRA Arbitration and Enforcement: Current Issues in 2018 and Beyond LIVE Webcast. |
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The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, announced today that it has scheduled a live webcast entitled: “FINRA Arbitration and Enforcement: Current Issues in 2018 and Beyond LIVE Webcast.” This event is scheduled for Thursday, April 05, 2018 from 3:00pm to 4:30pm (ET).
Event Synopsis:
FINRA Rules and the arbitration landscape are constantly changing. FINRA members and practitioners must stay sensitive to the issues and new developments to reduce the chances of surprise awards and enforcement actions.
In a LIVE Webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss latest and significant issues and developments in FINRA arbitration, as well as current regulatory focus. The speakers will also provide considerations on arbitrator selection, tips for controlling costs in discovery and expert engagement, and discuss compliance issues.
Key topics include:
• The FINRA Arbitration Process including rule changes, arbitrator selection and expungement
• Best Practices for Counsel
• Current regulatory focus on:
o Commission and fee-based accounts
o Suitability and fiduciary duty
o Issues surrounding the elderly and retirement savers
o Supervision of industry participants with disciplinary disclosures
o Churning
o Cybersecurity and duty to protect customer information
Speakers/Faculty Panel
Rumberger Kirk & Caldwell
Pete Tepley
Partner
Murphy & McGonigle
Heather B. Middleton
Partner
Jenks & Harvey LLP
Debra A. Jenks
Attorney
For an updated list of the faculty panel, please visit:
https://www.theknowledgegroup.org/webcasts/finra-arbitration-and-enforcement-2018/
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group brings together the world's leading authorities and industry participants through informative two-hour webcasts that study the impact of changing regulations and help businesses succeed through proper regulatory compliance.
Visit http://theknowledgegroup.org/ for further information and inquiry. |
| Source:https://www.1888pressrelease.com/the-knowledge-group-has-scheduled-a-live-webcast-on-finra-ar-pr-632332.html |
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