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2/28/2018
When: Wednesday, February 28, 2018
8:30 AM - 10:00 AM
Where: New York University - Midtown Center (across from Bryant Park)
11 West 42nd Street
4th Floor, Room 1027
New York, New York  10036
United States


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Date: Wednesday, February 28, 2018

Time: 8:30 AM - 10:00 AM

Location: 
New York University - Midtown Center (across from Bryant Park)
11 West 42nd Street (between 5th and 6th Avenues)

4th Floor, Room 1027
New York, New York 10036

Program: Corporate and Regulatory Issues Confronting Financial Advisers

Financial advisers face increased scrutiny by third parties, whether stemming from clients, supervisory authorities or by operation of law. In this session Oren M. Chaplin will discuss some of the common items of concern arising out of being an advisor, including custody, cybersecurity, ADV, fiduciary, as well as the operation of the financial service practice. He will review changes in corporate and regulatory matters.


Speaker: Oren M. Chaplin - Norris McLaughlin & Marcus, P.A.

Oren M. Chaplin focuses his practice on business and securities matters. He has experience drafting merger, acquisition, and business planning documents, and handling entity formation, corporate governance, and due diligence matters. Oren regularly analyzes regulatory and compliance issues related to limited offerings, investment advisers, public and private investment companies, broker-dealers, insurance product agents, and other financial industry entities under ERISA, the Investment Advisers Act of 1940, and the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and state Blue Sky laws. He is well versed in drafting and negotiating client referrals, client services, consulting, employment, and termination agreements, as well as internal compliance and supervisory policies and procedures.


Credits:
Applying for 1.5 CFP® CE credits with the CFP Board. You can also earn 1.5 CPE credits for NY licensed CPAs. CTFA credits are self-reporting.

Registration Fees:
FPANY Member - Free
Non-FPANY Member - $50
NYU Student - Free (Please contact us at admin@fpany.org to register.)


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