CPI

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It's no secret that the investment market is in turmoil. Investors are becoming increasingly wary due to the highly visible losses at the number of very public financial institutions. There are, though, a number of safety nets for consumers/investors, most notably the SEC's “Consumer Protection Rule” and the Securities Investment Protection Act.

The Knowledge Congress is assembling a panel of distinguished professionals and key regulators to help you understand the consumer protection laws and how they impact your firm and your customers. The speakers will present their expert opinions in a two-hour LIVE webcast.

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Conference
Recommended CLE/CPE Hours: 1.75 - 2.0
(Please note, your State Bar or Accounting Board will make the final determination with respect to continuing education credit. If you are applying for CLE credit in Texas you must register 20 days before the event date.)
Advance Preparation: Print and review course materials
Course Code: 083797
Recording Fee: $299 (Please click here for details)
NASBA Sponsor Number: 109004

 

Featured Speakers for Consumer/Investor Protections Laws: live webcast:


  Event Talking Points (click here for more)
SEGMENT 1:


Josephine Wang, General Counsel,
Securities Investor Protection Corporation (SIPC)

- Broker-Dealer Liquidations Under the Securities Investor Protection Act
  - Notice to SIPC and Grounds for Liquidation
  - The Early Stages
  - How Claims Are Satisfied
  - Limits to Customer Protection: Who Is or Is Not A “Customer”?
  - Limits to Customer Protection: Customers Who Are Ineligible for Advances From SIPC
  - Limits to Customer Protection: Special Concerns

SEGMENT 2:


Rex A. Staples , General Counsel,
North American Securities Administrators Association, Inc.

Expect increased scrutiny of:
  - BD / IA firms and registered individuals
  - Advisers to hedge funds
  - Others

Expect enforcement actions to increase in both volume and velocity
  - What will be the areas of focus?

Expect these actions to come from a variety of players in the regulatory sphere
  - Who and how?

Outlook for private offerings, generally

Outlook for firm / institutional and retail Outlook on statutory and rule changes

SEGMENT 3:


William C. MacLeod , Partner, Co-Chair of the Antitrust Practice Group,
Kelley Drye & Warren LLP

- Companies should expect more FTC enforcement than ever before in 2009
- Investigators will start with your advertisements, scrutinize your contracts,
  and test your privacy policies.
- They will examine lending from discrimination to debt collection.



Securities Investor Protection Corporation (SIPC)
Josephine Wang
General Counsel
speaker bio »»

North American Securities Administrators Association, Inc.
Rex A. Staples
General Counsel
speaker bio »»

Kelley Drye & Warren LLP
William C. MacLeod
Partner, Co-Chair of the Antitrust Practice Group
speaker bio »»

Who Should Attend?

- Consumer Law Attorneys/Consultants
- Investor Protection Lawyers/Consultants
- Corporate Senior Officers
- General Counsels
- Individual investors
- Investment Consultants

Why Attend?

This is a must attend event to anyone interested in learning the latest updates about the Consumer/Investor Protections Laws.
- New guidance explained by the most qualified key leaders & experts
- Hear directly from key regulators & thought leaders
- Interact directly with panel during Q&A

Registration Information:                                                                                                                                    



Consumer/Investor Protections Laws: How They Impact Your Firm
Speaker Firms:


Securities Investor Protection Corporation (SIPC)


North American Securities Administrators Association, Inc.


Kelley Drye & Warren LLP




 

The Knowledge Conference is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Website: www.nasba.org

 

We are an approved multi-event sponsor in the state of California. Our provider ID is: 14451. In Texas, Illinois, and Virginia, we submit programs for individual approval in advance. In New York, our programs are submitted immediately after the event live date and attendees are sent the approval codes once we receive them from the New York State Bar. In all other states, once attendance is verified, participants are emailed an official certificate of attendance which they submit to their respective State Bar Associations. Our programs are created with continuing education in mind and are therefore designed to meet the requirements of all State Bar Associations. If you have any questions, please email our CLE coordinator at: info@knowledgecongress.org

 
Enrolled Agents Sponsor ID Number: 760

We have entered into an agreement with the Office of Professional Responsibility, Internal Revenue Service, to meet the requirements of 31 Code of Federal Regulations, section 10.6(g), covering maintenance of attendance records, retention of program outlines, qualifications of instructors, and length of class hours. This agreement does not constitute an endorsement by the Office of Professional Responsibility as to the quality of the program or its contribution to the professional competence of the enrolled individual.