Charlotte Regional Seminar

Thursday 16-Oct-08 8:00 AM to 5:30 PM EDT

Details for "Charlotte Regional Seminar"

SIFMA-CL Charlotte Regional Seminar

Compliance and Regulatory Update

Omni Charlotte Hotel • Charlotte, NC
Thursday, October 16th, 2008

Seminar Chairperson
Michelle Oroschakoff
Managing Director
Morgan Stanley

Seminar Co-Chairperson
Shana Madoff
Compliance Counsel
Bernard L. Madoff Investment Securities LLC

We cordially invite you to attend the SIFMA – Compliance & Legal Division’s

Charlotte Regional Seminar to be held at the Omni Charlotte Hotel on Thursday, October 16th, 2008.

This one day Seminar, entitled Compliance and Regulatory Update, will feature presentations by industry professionals and leading securities regulators.
Topics will include:

An Update on the Consolidated FINRA Rulebook
Effective Compliance Programs in Uncertain and Volatile Markets
Examinations by Regulators
Asset Management

Registration

To register, please click here.

Seminar Registration includes a continental breakfast, luncheon, attendee list, and all course materials.

Regulatory Member: $ 0.00

Industry Member: $ 50.00

Counsel Member: $ 50.00

Special Member: $ 50.00

Non-Member: $375.00

Registrants seeking CLE will be eligible in most jurisdictions that have a MCLE requirement.

Updates

Watch your e.mail and the Division's website for future communication regarding the Seminar Agenda and Registration. For general information about this and other Seminars sponsored by the SIFMA - Compliance & Legal Dvivision, please call (212) 629-9393
ext. 206 or e.mail events@sifmacl.org

Comments

Help increase awareness for this SIFMA - Compliance & Legal Division event with these resources!