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Location

Dignity Health Sports Park

18400 S Avalon Blvd

Carson, CA 90746

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Event description
FI Summit 2019 LA Galaxy vs. FC Dallas

About this Event

Program Agenda

  • 1:30pm Registration
  • 2:00pm – 3:00pm Session 1 – Regulation Best Interest: The New Broker-Dealer Standard of Conduct

Description: Our Panel will discuss the SEC’s groundbreaking recent Best Interest Rule and the anticipated impact upon broker- dealers, registered representatives, registered investment advisers, and investment adviser representatives.

  • 3:15pm – 4:15pm Session 2 – Outside Business Activities, Private Securities Transactions, and Selling Away

Description: Our Panel will discuss the supervisory challenges broker-dealers face, as well as successful strategies to defend litigation and regulatory proceedings involving outside business activities, private securities transactions and selling away activities of registered representatives.

  • 4:30pm – 5:30pm Session 3 – Cyber Security, Privacy, and Technology

Description: A panel consisting of experts in legal, IT forensics and insurance will discuss a variety of topics relative to broker-dealers including today’s cyber threat landscape and unique exposures for this industry, including a discussion of the recent California Consumer Privacy Act, as well as risk management/breach prevention best practices and insurance implications for broker- dealers and their registered representatives.

  • 5:30 pm Goooooaaaaaal! Adjourn to Suite – Kickoff at 7:30pm

Cocktails and food will be provided

CA CE and CLE credit applied for.

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Date and Time

Location

Dignity Health Sports Park

18400 S Avalon Blvd

Carson, CA 90746

View Map

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