Skip to Main Content

Financial Markets Association 23rd Annual Securities Compliance Seminar

Baker Recommends
April 25, 2014
8:30 AM - 9:30 AM


Nashville Marriott at Vanderbilt
2555 West End Ave
Nashville, TN 37203


April 25, 2014
8:30 AM - 9:30 AM

Join Baker Donelson Shareholder Mark Griffin of the Firm's Memphis office as he participates in the FMA's 23rd annual Securities Compliance Seminar.

Attendees will acquire an understanding of (as well as tools for dealing with) the challenges and regulatory "hot button" priorities facing compliance professionals, risk managers and internal auditors in the bank-affiliated broker-dealer industry. The focus is on current compliance topics, new rules or interpretations and regulatory developments, including Volcker Rule/Dodd-Frank updates.

Who should attend:

  • Compliance professionals
  • Internal auditors
  • Risk managers
  • Capital markets specialists
  • Registered investment advisers
  • Broker-dealer managers
  • Regulators
  • Attorneys

Mark will participate in Friday morning's "Electronic Communications/Social Media Update" panel, along with Penny Michael (Vice President, Compliance Officer, AML/BSA Compliance Officer, FTN Financial); Joanna Belbey (Social Media and Compliance Analyst, Actiance, Inc.); and Patricia Harrison (Director of Compliance and CCO, Simmons & Company).

This program has been approved for 16.0 CLE hours in Tennessee.

FMA is offering 3-for-1 registration for in-state attendees, and will also extend the early bird discounts if you mention Baker Donelson when you register.

Events Contact

Heather Stripling
T: 205.250.8332
  Email Professional


Related Industry

Email Disclaimer

NOTICE: The mailing of this email is not intended to create, and receipt of it does not constitute an attorney-client relationship. Anything that you send to anyone at our Firm will not be confidential or privileged unless we have agreed to represent you. If you send this email, you confirm that you have read and understand this notice.
Cancel Accept