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Sutherland Partners Brian L. Rubin and Michael B. Koffler are speaking at Complinet’s Risk & Compliance Forum: A Changing Landscape: Building a Roadmap for Broker-Dealers, June 10, 2010, at the Carlton Hotel in New York, New York.
Brian is part of a panel entitled "Setting Your Expectations for the FINRA & SEC Exam Priorities." This panel will discuss preparing for a routine FINRA/SEC exam or inspection, versus one based on a complaint, exam priorities in 2010, and how to prepare for industry-wide "sweeps" focused on a particular risk area.
Michael will be discussing the "Implications of a New Fiduciary Bill." Panelists will exchange concerns and solutions, as they openly debate the future of the fiduciary bill and what can be expected in the next several months.
To register for this event, click here.