Financial Services Compliance

Catalog description

This class will discuss the basic areas of law confronted by a compliance professional for a financial services firm such as a private fund (e.g. hedge fund or private equity fund) or a FINRA regulated broker-dealer. The class will cover the fundamental areas of regulatory compliance, an overview of the law, guidance about market practices in addressing compliance issues and practical advice about how to handle day-to-day compliance issues. Guest speakers will include ex-regulators and several GC/CCOs and law firm attorneys who practice in these areas.