2011 New York Fall Compliance & Legal Seminar
New York, NY 10036
Join leading legal and compliance professionals from securities industry and financial services firms in the New York region at this important seminar. Topics to be addressed at this year's program include:
- Current Regulatory Issues
- OTC Derivatives/SEFs
- Retail Compliance and Advisory Issues
- Tone From the Top: How To Implement an Effective Ethics Program
- Institutional Legal and Compliance Roundtable
- Enforcement and Exams
Featured Guest Speaker:
U.S. Securities and Exchange Commissioner Elisse B. Walter
Fox Rothschild is proud to sponsor the morning's continental breakfast.
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