Brad Bondi Speaks at FMA’s 2022 Securities Compliance Webinar
Thursday, May 5, 2022 12:00 PM
Brad Bondi, partner and chair of Cahill’s White Collar and Government Investigations Practice Group, participated in the Financial Markets Association’s (FMA) 2022 Securities Compliance Webinar on May 5. Brad joined the “Compliance Issues for Dual Registrants” panel, which discussed the following topics:
- Fiduciary/Best Interest processes at point of sale in determining whether a prospect/client is recommended a brokerage account, advisory, or a combo of both
- Similarities and differences in conduct standards under the Advisers Act vs. Reg BI – Code of Conduct implications; Disclosure obligations
- Monitoring and supervision procedures for existing clients switching from brokerage to advisory or the reverse
- Supervisory and oversight structures: benefits/drawbacks of same supervisors for dually registered employees or separate supervisors
- Compliance Program Construction: benefits/drawbacks of an integrated compliance program or different compliance regimes for each business line
- How to handle differences in regulatory regimes applicable to broker and adviser
FMA’s Securities Compliance Webinar focuses on current compliance issues, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers.
For more information, click here.