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Webcast URL: https://www.theknowledgegroup.org/webcasts/finra-arbitration-and-enforcement-2019/

Join us for this Knowledge Group Online CLE FINRA Arbitration Webinar. For the past years, the Financial Industry Regulatory Authority’s (FINRA) arbitration process and enforcement trends have undergone significant modifications. Recent and proposed changes are dealing with an array of materially new issues focusing on online distribution platforms, and compliance with FinCEN’s Customer Due Diligence (CDD) rule, as well as with the firm’s mark-up disclosure obligations.

With all the emerging issues, it becomes important for companies and their counsel to be in the know with all the latest trends and developments surrounding this area of law to ensure compliance and obviate potential risks.

In this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide and present to the audience an in-depth analysis of the fundamentals as well as recent developments in FINRA Arbitration and Enforcement. Speakers will also present best practices and key compliance tools in light of the recent developments.

For anymore information please click on the webcast url at the top of this description.