See Credit Details Below
Overview
Why You Should Attend:
Tailored to address current regulatory developments and everyday practice issues encountered by attorneys and compliance professionals in the securities industry, this half-day program will examine new rules and business trends applicable to fintech and regtech in the securities industry. Included this year is an exploration of artificial intelligence in the securities industry and a targeted panel on digital assets by broker-dealers and advisers.
What You Will Learn:
After completing this program, participants will be able to:
• Better understand anticipated SEC rulemaking related to digital engagement practices
• Implement best practices with respect to crypto-related activities
• Have an improved understanding of how the securities industry intersects with fintech and regtech
• Apply lessons learned from recent enforcement and exam trends
Who Should Attend:
Attorneys and compliance professionals interested in examining the new rules and business trends applicable to fintech and regtech in the securities industry
Program Level:
Beginner, Intermediate, Advanced
Prerequisites:
An interest in corporate compliance programs. Attorneys practicing in the financial services industry will benefit from the program's thorough grounding regarding the basic regulatory regime governing financial services firms’ corporate compliance programs. Legal and compliance personnel already working in the industry will also benefit from updates and practical advice that will serve as a refresher.
Advanced Preparation:
None