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06/18/2019

PA Statewide Securities Conference on Compliance Announced

Harrisburg, PA - Secretary of Banking and Securities Robin L. Wiessmann announced today a statewide conference of investment professionals and regulators that will take place 8:00 AM – 5:00 PM, October 17 at the Radisson Hotel Harrisburg in Camp Hill. Registration opens at 7:00 AM.

Compliance 2019 is designed to keep investment professionals up-to-date on federal and state securities laws and regulations.

“This conference will provide a valuable opportunity for people working in the Pennsylvania’s securities industry to discuss the latest issues in investing and regulatory matters,” said Secretary Wiessmann.

 “We want to help all the professionals and firms we supervise to understand the rules under which they are expected to operate, to navigate Pennsylvania and federal regulations, and to protect their clients from fraud.”

The keynote speaker will be Jane Norberg, chief of the Office of the Whistleblower at the Securities and Exchange Commission. She will give an overview of the SEC’s whistleblower program, which was established with the passage of The Dodd-Frank Act in 2010.

Other sessions include:

  • What to Expect from an Investment Adviser Exam
  • Enforcement and Regulatory Update
  • Technology and Regulation, "Some Observations About Trends and Changes"
  • Due Diligence for Alternative Products
  • Anti-Money Laundering, Financial Crimes and Fraud Trends
  • Senior$afe: Preventing Financial Exploitation of the Elderly

Attendees can earn continuing education credits from the Certified Financial Planner Board of Standards, the American College of Financial Services for Chartered Financial Consultants, the Continuing Legal Education Board, the PA State Board of Accountancy, and the Pennsylvania Insurance Department.

The cost of attendance is $200 per registrant. Space is limited. For a detailed agenda, description of speakers, hotel rate, and to register online, visit the conference website. For questions about registration, please email: compliance2019@pa.gov.

The mission of Pennsylvania’s Department of Banking and Securities is to regulate financial services and to ensure consumers and businesses are well-informed about the marketplace. The Department registers more than 200,000 broker-dealers, broker-dealer agents, investment advisers, investment adviser representatives, and notice filers who conduct securities-related business in Pennsylvania. For more, please visit the Department of Banking & Securities website.
 

MEDIA CONTACT: Dulcey Antonucci - 717.214.6036

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