What started as a lowly attended seminar 5 years ago, has become a highly anticipated event by the Securities Industry. With only standing room available at the Day Pitney Event Room in New York, over 40 attendees had the pleasure of experiencing the “2015: Broker-Dealer and Investment Adviser Hot Topics” seminar on November 9, 2015.
The panel of knowledgeable and experienced attorneys, accountants, and compliance professionals covered the following topics:
Hot Topics in Broker-Dealer Audits
Insider Trading after the Newman Decision
The SEC’s Proposed Changes to Form ADV
Pitfall of Trading Private Company Shares
With Kevin Breard’s vast knowledge in the Broker-Dealer audit industry, he was able to spotlight the important matters that will impact the upcoming audit season. Opting not to focus on one specific topic for the majority of his presentation and instead deciding to introduce numerous topics, Kevin was able to enlighten the B/D industry on a wide variety “hot topics”.
BAI staffers in attendance included Rod Simonds and Amy Hagiu who happened to be in New York visiting our East Coast clients. The entire BAI staff would like to extend its gratitude to the wonderful people at Day Pitney and RegMaven for co-sponsoring the seminar and we look forward to next year’s event.
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