Events

Designing an Effective Retail Surveillance Program

SIFMA Compliance & Legal Division's 40th Annual Seminar

March 31, 2008

 
Michael K. Wolensky
Michael K. Wolensky, a partner in Schiff Hardin's Securities and Futures Regulation Group, will speak at the SIFMA Compliance & Legal Division's 40th Annual Seminar. His session is "Designing an Effective Retail Surveillance Program."

The session will focus on risk based approach to determining what issues to surveil, selecting the tools, use of SRO reports (trace, OATS, MSRB), and issue resolution and documentation.

The seminar will be held from March 30-April 2 at the Grande Lakes Resort in Orlando, Florida.

For additional information, please visit http://www.intermediapg.com/SIFMACL/2008%20Annual%20Seminar/SIFMA-CL%2040th%20Annual%20Seminar%20Brochure.pdf.

 
© 2008 Schiff Hardin LLP
Schiff Hardin LLP is a general practice law firm representing clients across the United States and around the world. We have nearly 400 attorneys in offices located in Atlanta, Boston, Chicago, Lake Forest, New York, San Francisco and Washington. Our attorneys are strong advocates and trusted advisers — roles that contribute to many lasting client relationships.