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04574aam a2200445 i 4500 001 F26ACD60EA0A11E7B6F5700597128E48 003 SILO 005 20171226010227 008 141112t20142014nyuac b 001 0 eng 020 $a 1402423225 020 $a 9781402423222 035 $a (OCoLC)895065751 040 $a CGQ $c CGQ $e rda $d PQD $d OCLCO $d UtOrBLW $d SILO 245 00 $a Financial services industry regulatory compliance & ethics forum, 2014 / $c chair, Clifford E. Kirsch. 264 1 $a New York, NY : $b Practising Law Institute, $c 2014. 300 $a 376 pages : $b illustrations, portraits ; $c 23 cm. 490 1 $a Corporate law and practice course handbook series ; $v Number B2132 500 $a "#49441."--Spine 500 $a "Prepared for distribution at the Financial Services Industry Regulatory Compliance & Ethics Forum 2014, October 29, 2014."--Page 5 500 $a Index begins with letter B and is erratic. 504 $a Includes bibliographical references and index. 505 20 $t The Broker Dealer and Adviser Uniform Standard of Care (April 22, 2014) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP Bruce W Maisel Vice President & Chief Compliance Officer, U.S. Private Client Group, BMO Harris Bank Issa J Hanna Sutherland Asbill & Brennan LLP -- $t Laying the Foundation: The Regulatory Landscape / $r Savaria B Harris DLA Piper LLP -- $t Investment Adviser Compliance Programs (July 26, 2014) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t Broker Dealer Compliance Programs (July 31, 2014) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP Issa J Hanna Sutherland Asbill & Brennan LLP -- $t The Broker Dealer and Adviser Uniform Standard of Care (April 22, 2014) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP Bruce W Maisel Vice President & Chief Compliance Officer, U.S. Private Client Group, BMO Harris Bank Issa J Hanna Sutherland Asbill & Brennan LLP -- 505 20 $t CCOs and In House Counsel Who Got Whacked: SEC and FINRA Disciplinary Actions Against Chief Compliance Officers and In House Counsel (January June 2013) (September October 2013) / $r Brian L Rubin Sutherland Asbill & Brennan LLP -- $t FINRA Report on Conflicts of Interest (October 2013) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t Financial Institutions as Fiduciaries: Managing Conflicts of Interest in the Wealth Management Business / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t CCOs and In House Counsel Who Got Whacked: SEC and FINRA Disciplinary Actions Against Chief Compliance Officers and In House Counsel (January June 2013) (September October 2013) / $r Brian L Rubin Sutherland Asbill & Brennan LLP -- 505 20 $t SEC National Exam Program Office of Compliance Inspections and Examinations: Examination Priorities for 2014 (January 9, 2014) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP $t Legal Ethics: The Lawyers Role When Something Goes Wrong / $r Savaria B Harris DLA Piper LLP -- $t FINRA 2014 Regulatory and Examination Priorities Letter (January 2, 2014) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t SEC National Exam Program Office of Compliance Inspections and Examinations: Examination Priorities for 2014 (January 9, 2014) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP 650 0 $a Stockbrokers. $0 http://id.loc.gov/authorities/subjects/sh88001213 650 0 $a Brokers. $0 http://id.loc.gov/authorities/subjects/sh85017033 650 0 $a Financial services industry. $0 http://id.loc.gov/authorities/subjects/sh88000615 650 0 $a Financial crises. $0 http://id.loc.gov/authorities/subjects/sh89002668 650 0 $a Global Financial Crisis, 2008-2009. $0 http://id.loc.gov/authorities/subjects/sh2009003683 610 10 $a United States. $b Securities and Exchange Commission $x Rules and practice. 650 0 $a Investment advisors. $0 http://id.loc.gov/authorities/subjects/sh85067705 610 20 $a Financial Industry Regulatory Authority $x Rules and practice. 650 0 $a Conflict of interests. $0 http://id.loc.gov/authorities/subjects/sh85030963 650 0 $a Legal ethics. $0 http://id.loc.gov/authorities/subjects/sh85075748 700 1 $a Kirsch, Clifford E., $e chair. $0 http://id.loc.gov/authorities/names/n96028333 710 2 $a Practising Law Institute, $e sponsoring body. $0 http://id.loc.gov/authorities/names/n78085422 830 0 $a Corporate law and practice course handbook series ; $v No. B-2132. $0 http://id.loc.gov/authorities/names/n42008339 941 $a 1 952 $l OVUX522 $d 20171226020246.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=F26ACD60EA0A11E7B6F5700597128E48Initiate Another SILO Locator Search