Alternative & Direct Investment Securities Association’s Alt Research & Due Diligence Forum: Reg BI Duty of Care – FINRA’s Exam Expectations and Enforcement Cases
On July 23, from 10:20 – 11:20 am, Christopher J. Kelly, Chair of the CSG Law Securities Enforcement Group, will be speaking at the Alternative & Direct Investment Securities Association (ADISA)’s Alts Research & Due Diligence Forum on the panel, “Reg BI Duty of Care: FINRA’s Exam Expectations and Enforcement Cases.” Mr. Kelly, along with other participants, will address the two components of Regulation BI, FINRA’s exam priorities, past enforcement cases, and practices that FINRA broker deals can adopt in their efforts to comply with Reg BI.