Duff & Phelps’ Ken Joseph to Speak on A Live Webcast Discussing Current Issues Impacting Broker-Dealers and Dual Registrants in 2018 and Beyond

calendar2 April 5, 2018

Ken C. Joseph, Duff & Phelps Managing Director and former Head of the Securities and Exchange Commission’s Investment Management Examination Program in the NY/NJ Region, is pleased to discuss "Current Issues Impacting Broker-Dealers and Dual Registrants in 2018 and Beyond” during a live webcast organized by the Knowledge Group. Among other relevant topics, the panelists will cover regulatory priorities, enforcement actions, the FINRA Arbitrations, and new and pending rule changes.

Time: 3:00 p.m. - 5:00 p.m. (EST)

Register Now

Key topics include:

  • The FINRA Arbitration Process

  • Risks of FINRA Disciplinary Action

  • New and Pending Rule Changes

  • Arbitrator Selection Considerations

  • Best Practices for Counsel

  • Federal regulatory focus on:

    • Compliance issues faced by dual registrants and the continuing shift from commissions to fee-based accounts

    • Suitability vs. fiduciary duty

    • Supervision of industry participants with disciplinary disclosures

    • Microcap offerings and the gatekeepers, including broker-dealers, who participate in those offerings

    • Use of data analytics to identify misconduct

    • Churning and other misconduct that victimizes retail customers

    • Cybersecurity and duty to protect customer information

    • Initial coin offerings and cryptocurrencies

Speakers:

  • Ken Joseph, Managing Director, Disputes and Investigations, Duff & Phelps

  • Pete Tepley, Partner, Rumberger Kirk & Caldwell

  • Heather B. Middleton, Attorney, Murphy & McGonigle

2018-04-05T00:00:00.0000000 0001-01-01T00:00:00.0000000 /insights/events/2018/finra-arbitration-and-enforcement-webcast event {C8894F56-FF6C-4DEA-AB91-58D66A7F0624} {B7CF2537-1DBA-485F-A14F-8BD1524F1A8B} {DA6CC51B-740E-439A-B283-2BBFB5326BAA} {EBC1AB28-1393-493C-AF32-19B3B0B6E171} {B871D4F9-5FCB-40B9-8710-871A30B710AB}

Contact Us

Contact Us

Related Services

Duff & Phelps Disputes

Governance, Risk, Investigations and Disputes

Combined Duff & Phelps and Kroll disputes, investigations, cyber, business intelligence, cross-border restructuring and other advisory.

Governance, Risk, Investigations and Disputes
Duff & Phelps Disputes

Governance, Risk, Investigations and Disputes

Securities Litigation

Assistance with complex securities litigation.

Securities Litigation
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

U.S. Regulation

Comprehensive support for asset managers registering in the U.S.

U.S. Regulation

Featured Case Studies

Insights

Events