Mid- to Senior Administrative and Regulatory Bank Finance Associate Attorney abovethelaw.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from abovethelaw.com Daily Mail and Mail on Sunday newspapers.
INTRODUCTION
The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) have each published their annual examination priorities for 2021, signaling areas of scrutiny that broker-dealers should expect in upcoming regulatory exams. Both sets of priorities offer a road map of the issues of concern to regulators and provide guidance on what market participants – particularly broker-dealers – can do to anticipate those concerns and mitigate regulatory risks. Given the shared focus of both the SEC and FINRA in certain areas, broker-dealers should pay close attention to aspects of their businesses where these shared priorities overlap. This alert explores several of these areas of mutual concern, namely (i) information protection and cyber security, (ii) anti-money laundering policies, and (iii) sales practices, especially as they relate to Regulation BI obligations. We conclude by offering some practical takeaways to help broker-dealers mitig
February 17, 2021 at 12:04 PM
Shares4
From the way you meet clients to the way you do research, everything’s more virtual in today’s pandemic climate. Practising Law Institute (PLI), known as the industry’s established provider of continuing legal education, also provides authoritative, practical guidance in an online format that makes finding information easy – even if your “office” is in your dining room.
Alexa Robertson, PLI’s Senior Director of Legal Information Services, answers some questions about PLI’s publishing offerings, including PLI PLUS, PLI’s online legal research system.
Many lawyers will know PLI for CLE. How would you describe PLI Press and the PLUS platform to those unfamiliar with this side of your organization?
February 9, 2021 at 3:22 PM
Shares1
From the way you meet clients to the way you do research, everything’s more virtual in today’s pandemic climate. Practising Law Institute (PLI), known as the industry’s established provider of continuing legal education, also provides authoritative, practical guidance in an online format that makes finding information easy – even if your “office” is in your dining room.
Alexa Robertson, PLI’s Senior Director of Legal Information Services, answers some questions about PLI’s publishing offerings, including PLI PLUS, PLI’s online legal research system.
Many lawyers will know PLI for CLE. How would you describe PLI Press and the PLUS platform to those unfamiliar with this side of your organization?
December 23, 2020 at 12:26 PM
Shares2
Alexa Robertson, PLI’s Senior Director of Legal Information Services, answers some questions about PLI’s publishing offerings, including PLI PLUS, PLI’s online legal research system.
Many lawyers will know PLI for CLE. How would you describe PLI Press and the PLUS platform to those unfamiliar with this side of your organization?
As a nonprofit learning organization, we’re dedicated to keeping attorneys and professionals at the forefront of knowledge and expertise – this includes not only CLE and other training programs, but publications as well. PLI PLUS is our legal research database. We make all our publications available, so you have the benefit of finding answers in any of our renowned treatises, journals, or program course handbooks and transcripts. Subscribers to PLI PLUS have unlimited access to all PLI publications and course materials.