Transcription of Investment Banking: Compliance and Regulatory …
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Investment Banking: Compliance and Regulatory …
Investment banking : Compliance and Regulatory Issues Thursday, May 28. 11:15 12:15 Topics: Advise, establish Compliance procedures and surveil for: o Investment banking Conflicts of Interest o Interactions between Research Department personnel and Investment banking clients o Private Placement procedures o Filings with FINRA related to public offerings and private placements o Understand New and Pending Regulatory Developments in the area Speakers: Robert Mendelson (moderator). FINRA Fellow FINRA Member Regulation, Office of Risk Oversight and Operational Regulation Kevin Genirs Managing Director Barclays Paul Mathews Vice President FINRA Corporate Financing Gil Mogavero Managing Director JMP Securities, LLC.
Investment Banking: Compliance and Regulatory Issues FINRA Annual Conference May 28, 2015 • Washington, DC
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