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Mid- to Senior Administrative and Regulatory Bank Finance Associate Attorney

Mid- to Senior Administrative and Regulatory Bank Finance Associate Attorney
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SEC and FINRA Emphasize Cybersecurity, AML, and Reg BI as Key Areas of Focus for Broker-Dealer Examinations in 2021 | King & Spalding

INTRODUCTION
The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) have each published their annual examination priorities for 2021, signaling areas of scrutiny that broker-dealers should expect in upcoming regulatory exams. Both sets of priorities offer a road map of the issues of concern to regulators and provide guidance on what market participants – particularly broker-dealers – can do to anticipate those concerns and mitigate regulatory risks. Given the shared focus of both the SEC and FINRA in certain areas, broker-dealers should pay close attention to aspects of their businesses where these shared priorities overlap. This alert explores several of these areas of mutual concern, namely (i) information protection and cyber security, (ii) anti-money laundering policies, and (iii) sales practices, especially as they relate to Regulation BI obligations. We conclude by offering some practical takeaways to help broker-dealers ....

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Get The Knowledge You Need During The 'New Normal' Of Remote Work

February 17, 2021 at 12:04 PM
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From the way you meet clients to the way you do research, everything’s more virtual in today’s pandemic climate. Practising Law Institute (PLI), known as the industry’s established provider of continuing legal education, also provides authoritative, practical guidance in an online format that makes finding information easy – even if your “office” is in your dining room.
Alexa Robertson, PLI’s Senior Director of Legal Information Services, answers some questions about PLI’s publishing offerings, including PLI PLUS, PLI’s online legal research system.
Many lawyers will know PLI for CLE. How would you describe PLI Press and the PLUS platform to those unfamiliar with this side of your organization? ....

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Get The Knowledge You Need During The 'New Normal' Of Remote Work

February 9, 2021 at 3:22 PM
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From the way you meet clients to the way you do research, everything’s more virtual in today’s pandemic climate. Practising Law Institute (PLI), known as the industry’s established provider of continuing legal education, also provides authoritative, practical guidance in an online format that makes finding information easy – even if your “office” is in your dining room.
Alexa Robertson, PLI’s Senior Director of Legal Information Services, answers some questions about PLI’s publishing offerings, including PLI PLUS, PLI’s online legal research system.
Many lawyers will know PLI for CLE. How would you describe PLI Press and the PLUS platform to those unfamiliar with this side of your organization? ....

Alexa Robertson , Clifford Kirsch , Practising Law Institute , Legal Information Services , Law Institute , Broker Dealer Regulation , Estate Planning , Immigration Fundamentals , Pli Custom Small Law , Practising Law Institute Pli , Small Law Firms , Sponsored Content , Above The Law , Abovethelaw Com , Legal Tabloid , Legal News , Legal Blog , Lawyer Blog , Law Firm News , Legal Gossip , Legal Scandal , Law Firm Salaries , Partner Salaries , Associate Salaries , Law Firm Rankings , Profits Per Partner List ,

Remote Research? No Problem – Meet PLI PLUS

December 23, 2020 at 12:26 PM
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Alexa Robertson, PLI’s Senior Director of Legal Information Services, answers some questions about PLI’s publishing offerings, including PLI PLUS, PLI’s online legal research system.
Many lawyers will know PLI for CLE. How would you describe PLI Press and the PLUS platform to those unfamiliar with this side of your organization?
As a nonprofit learning organization, we’re dedicated to keeping attorneys and professionals at the forefront of knowledge and expertise – this includes not only CLE and other training programs, but publications as well. PLI PLUS is our legal research database. We make all our publications available, so you have the benefit of finding answers in any of our renowned treatises, journals, or program course handbooks and transcripts. Subscribers to PLI PLUS have unlimited access to all PLI publications and course materials. ....

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