Bressler Principals Josh Jones and Donald Littlefield will be speaking at The Financial Markets Association (FMA) 33rd Annual Securities Compliance Seminar in Chicago.
On Wednesday, April 17th, Don Littlefield will be speaking on the panel, Compliance Challenges in the Sales of Complex Products, where he will discuss the identification and classification of “Complex Products”, due diligence, regulatory guidance in the sale of complex products, documenting “best interest” determination, and more.
On Friday, April 19th, Josh Jones will be speaking on the panel, Elder and Vulnerable Adult Financial Exploitation, where he will discuss FINRA’s Senior Helpline and trusted contact trends, updates on federal and state law developments, factors for working with regulators and adult protective services, compliance policy, procedure, and more.
To learn more or register for this seminar, click here