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Complinet’s Risk & Compliance Forum: A Changing Landscape: Building a Roadmap for Broker-Dealers

June 10, 2010

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.

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Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
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