Join us for our next webinar, Scam Liability for Broker-Dealers: Trends, FINRA Expectations, and Best Practices, on Thursday, July 18, 2024.
This webinar will address current and trending scams and the impact on firms servicing vulnerable adults and senior clients. Joined by Brooks Brown, Senior Director, National Cause and Financial Crimes with FINRA, and Jennifer Peresie, Assistant United States Attorney for the U.S. Department of Justice, we will discuss the issue from multiple perspectives, including the law enforcement perspective - current scams, what to look for, and statistics, the FINRA perspective - regulatory overview and expectations, and the firm perspective - issue spotting, best practices, and practical tips.
*General CLE credit has been applied for in New York, Pennsylvania, Texas and North Carolina. Reciprocity credit will be given to California, Florida and New Jersey.