If in some alternate universe there were ever a comedy club for financial regulatory wonks, Tom Giachetti could headline the show seven nights a week. Thomas D. Giachetti brings humor, insight to regulatory guidance. The seasoned regulatory attorney, author and candid commentator, is chairman of the Securities Practice Group, which he says is dedicated first and foremost to helping financial advisers get through the complicated regulatory landscape.

Agenda
12:30 pm - Registration and Box Lunch
1:00 pm - Program Begins
2:30 pm - Program Concludes

Beware: The Bully Lives with Thomas D. Giachetti, JD
The regulatory environment is quickly evolving. There appears to be an unfortunate growing disrespect by the SEC and other regulators for the role that advisors fulfill for their clients. Financial services firms must adopt a proactive approach to compliance in identifying and implementing sound business practices, policies and procedures to promote a good working relationship with industry regulators.

This course will: 1) Examine the current aggressive regulatory environment; 2) Review recent enforcement actions and reveal how to use these cases to recognize troubling practices and patterns at your firm and strengthen your firm’s compliance controls; 3) Review examination priorities and best practices for interacting with industry regulators. Learning Objective(s) Attendees will come away with: 1) A better understanding of the current SEC Examination priorities and how they can best respond to them in their firm; 2) Gain insight of recent enforcement actions to help you identify and prevent mistakes made by others; 3) Consider regulatory expectations relating to practices engaged in by your firm in order to develop new processes, policies, procedures and disclosures, as appropriate; 4) Develop an appreciation for the common regulatory policy threads woven through various, distinct enforcement proceedings.

This program has been accepted for 1.5 hours continuing education by CFP Board, The American College (PACE). 1.5 units for Registered Financial Consultants.