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Publications Events

Day Pitney Attorneys to Speak at 2013 "Red Flag" Seminar

October 24, 2013

Hank Massey, Michael Burwick and Eliza Sporn Fromberg will be participating in a free half-day seminar on critical issues affecting broker-dealers, registered investment advisers and wealth managers, sponsored by Breard & Associates, Inc. (certified public accountants). The seminar will be held October 24 from 9 a.m. to 12 p.m. at the Grand Hyatt Hotel in New York City, and will also be available via webcast. In addition to Day Pitney, panelists will include experienced professionals from Breard and Regulatory Maven (compliance specialists). Also featured will be a former CEO who has worked with capital markets in successfully launching three startups in the financial services industry, as well as an insurance broker specializing in cyber and fiduciary liability.

Topics will include:

  • Red Flag rules effective November 2013
  • Hot FINRA topics
  • Fiduciary responsibility
  • Private placement rules
  • Custody rules
More information about the conference, including how to register, can be found here.

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