"#49441."--Spine "Prepared for distribution at the Financial Services Industry Regulatory Compliance & Ethics Forum 2014, October 29, 2014."--Page 5 Index begins with letter B and is erratic. Includes bibliographical references and index.
Contents:
The Broker Dealer and Adviser Uniform Standard of Care (April 22, 2014) / 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 -- Laying the Foundation: The Regulatory Landscape / Savaria B Harris DLA Piper LLP -- Investment Adviser Compliance Programs (July 26, 2014) / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- Broker Dealer Compliance Programs (July 31, 2014) / Clifford E Kirsch Sutherland Asbill & Brennan LLP Issa J Hanna Sutherland Asbill & Brennan LLP -- The Broker Dealer and Adviser Uniform Standard of Care (April 22, 2014) / 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 -- 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) / Brian L Rubin Sutherland Asbill & Brennan LLP -- FINRA Report on Conflicts of Interest (October 2013) / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- Financial Institutions as Fiduciaries: Managing Conflicts of Interest in the Wealth Management Business / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- 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) / Brian L Rubin Sutherland Asbill & Brennan LLP -- SEC National Exam Program Office of Compliance Inspections and Examinations: Examination Priorities for 2014 (January 9, 2014) / Clifford E Kirsch Sutherland Asbill & Brennan LLP Legal Ethics: The Lawyers Role When Something Goes Wrong / Savaria B Harris DLA Piper LLP -- FINRA 2014 Regulatory and Examination Priorities Letter (January 2, 2014) / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- SEC National Exam Program Office of Compliance Inspections and Examinations: Examination Priorities for 2014 (January 9, 2014) / Clifford E Kirsch Sutherland Asbill & Brennan LLP
Series:
Corporate law and practice course handbook series ; Number B2132
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