"#41406"--Spine ; "B2003"--Spine. "Prepared for distribution at the Broker-Dealer and Adviser Regulatory Compliance Forum 2013, February 20, 2013"--P. 5 Includes bibliographical references and index.
Contents:
Address at the Private Equity International Private Fund Compliance Forum: Remarks from Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission / Clifford E. Kirsch Sutherland Structured Thoughts 2012 / Anna T. Pinedo Morrison & Foerster LLP -- Good Walls, Better Compliance: OCIE's Report / Anna T. Pinedo Morrison & Foerster LLP -- FINRA Commences Sweep Request Relating to Conflicts of Interest / Anna T. Pinedo Morrison & Foerster LLP -- Protection in the Firing Line / Anna T. Pinedo Morrison & Foerster LLP -- Investment Adviser Advertising Developments: Focus on the JOBS Act / Jesse P. Kanach Shearman & Sterling LLP -- The Investment Lawyer Advertising Rules for Private Funds: A Post JOBS Act Primer: Part 1 of 2 / Jesse P. Kanach Shearman & Sterling LLP -- Overview of Recent FINRA Rulemaking Regarding Communications with the Public and Suitability Obligations / Stephanie R. Nicolas WilmerHale LLP -- Offering Cross Border Investment Products and Advisory Services to Clients in Latin America / Christopher D. Christian Partner, Dechert LLP -- FINRA's Newsroom Speeches: Remarks from Susan F. Axelrod, Executive Vice President, Member Regulation Sales Practice, at PLI's Seminar on Broker Dealer and Enforcement 2012 / Clifford E. Kirsch Sutherland -- FINRA's 2012 Annual Regulatory and Examination Priorities Letter / Clifford E. Kirsch Sutherland -- Conflicts of Interest and Risk Governance: Remarks from Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, Before the National Society of Compliance Professionals / Clifford E. Kirsch Sutherland -- Address at the Private Equity International Private Fund Compliance Forum: Remarks from Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission / Clifford E. Kirsch Sutherland
Series:
Corporate law and practice course handbook series ; no. B-2003
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