Announcing the second program in a twice-yearly compliance update to help you best serve your clients! The previous webinar focused broadly on important compliance concepts. This webinar will focus more deeply on hot topics at the state and SEC levels, as indicated in regulators’ publications and as seen in their exams, including:
It is imperative to understand these focus areas if you wish to work with clients in the most compliant manner and avoid costly regulatory findings, client refunds, and arbitration/litigation proceedings.
Jeff A. Lang, Esq.
Jeff Lang, CFP®, IACCP, is a member of Stark & Stark’s Investment Management & Securities Group in the Lawrenceville, New Jersey office and has more than 25 years of regulatory and compliance experience, including SEC, FINRA, and global corporate compliance expertise. Jeff has served as a Chief Compliance Officer with both large institutional and start-up registered investment advisers. He concentrates his practice on all facets of Investment Adviser and Broker-Dealer compliance, managed accounts, oversight of business practices and supervision, and risk assessments.
Joseph Antonakakis is an Associate at Stark & Stark and a member of the firm’s Investment Management & Securities Group. He concentrates his practice on counseling financial service entities, including investment advisers, broker-dealers, public and private investment companies like mutual funds and hedge funds, and their employees, on regulatory, compliance, liability and litigation issues.