Skip to main content

Past Event
29 October 2018 - 31 October 2018

Speakers

  • Anna T. Pinedo
    T +1 212 506 2275
Conference

2018 NSCP National Conference

Partner Anna Pinedo participated in a panel discussion entitled “BD/MA – 2018 Regulatory Priorities & Best Practices” on day one of the conference. This session focused on FINRA’s and SEC’s 2018 regulatory and examination priorities letters and the FINRA report on examination findings to provide insight to broker-dealers and municipal advisors to enhance their compliance, supervisory and risk management programs. Best practices areas were covered for firms of various sizes to address these priorities. Attendees left with ideas to implement for their firm. Learning objectives included:

  • Discussing sales practice risks and focus areas such as: suitability; cryptocurrencies; securities backed line of credit and high-risk firms, high-risk brokers;
  • Addressing operational and financial risks, such as business continuity planning; cybersecurity; anti-money laundering practices and the FINRA report on examination findings topics;
  • Examining significant new rules to be applicable this year, such as: Financial Exploitation; Customer Due Diligence Rule, Margin Requirements, and Trusted Contact; and
  • Preparedness for municipal adviser examinations, continuing education and new MSRB rules.

For more information, please visit the event website.

The Build a Report feature requires the use of cookies to function properly. Cookies are small text files that are placed on your computer by websites that you visit. They are widely used in order to make websites work, or work more efficiently. If you do not accept cookies, this function will not work. For more information please see our Privacy Policy

You have no pages selected. Please select pages to email then resubmit.