State of Connecticut Department of Banking

Securities Forum 2007

Compliance Solutions for a Changing World

Sign Up Now!

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Securities Forum 2007 will be held on Thursday, October 25, 2007 at the Crowne Plaza Hotel and Conference Center in Cromwell, Connecticut.

This year's event features four workshops organized into broker-dealer and investment advisory tracks as well as an opening general session designed to keep you up-to-speed on critical regulatory developments.  The program fee is a low $65 per person ($60 per person for attendees from the same firm) and includes a luncheon and course materials.  Email us for further information.

The Certified Financial Planner Board of Standards has granted up to 4.5 continuing education credits for Securities Forum 2007.  CFP®, CERTIFIED FINANCIAL PLANNER® and CFP (with flame logo)® are certification marks owned by the Certified Financial Planner Board of Standards, Inc.  These marks are awarded to individuals who successfully complete the CFP Board’s initial and ongoing certification requirements.

Don't delay - Registration ends on October 18th!


Program Schedule  | Registration Form (fillable)
(Schedule and Form are PDF files)

Now in its 19th year, Securities Forum has kept broker-dealers, investment advisers, financial planners, securities attorneys, bankers, insurance agents, accountants and other financial professionals up-to-date on regulatory developments.

This year's program will focus on practical solutions to compliance problems facing the securities brokerage and investment advisory industries.  A seasoned team of experts will lay the groundwork to help you achieve success in keeping regulatory problems at bay.  A choice of four panel presentations, organized into broker-dealer and investment advisory tracks, plus an opening general session, allows you to create a personalized agenda to meet your particular business needs.

Keynote speaker

Karl J. Krapek, former President and Chief Operating Officer of United Technologies Corporation will deliver the keynote address. 

Securities Forum 2007 panel sessions will include:

General Session: Developments in Securities Industry Oversight
The financial services industry has witnessed several perhaps surprising developments over the past year, including the historic merger of the NASD and the New York Stock Exchange, continuing attempts to regulate hedge funds and the crumbling of the subprime lending market.  What additional issues are on the horizon?  What predictions are possible in this environment?  Join a lively group of state and federal regulators as they debate the question.

Surviving a Broker-dealer Examination
Conducting books and records inspections is an important visitorial power of securities regulators.  How "exam ready" is your brokerage firm?  What is the most effective way to resolve deficiencies?  Join a seasoned team of experts as they explain the processes and procedures of conducting an examination as well as the criteria by which examination candidates are selected.  Panelists will also highlight compliance weaknesses discovered during recent broker-dealer examinations of main offices and branch locations.

Conflict of Interest Management for Investment Advisers
Traditionally, investment advisers owe a fiduciary duty to their clients.  In today's marketplace, how can advisers preserve their competitive edge while still putting their clients' interests first?  Under what circumstances is outside compensation improper?  Notwithstanding the Financial Planning Association's victory in FPA v. SEC, will the securities brokerage industry set its sights on a larger slice of the investment advisory business?  This panel will explore these and other issues in a thought-provoking exchange. 

Broker-dealer Enforcement Clinic
Key personnel from your brokerage firm have just received a subpoena from securities regulators.  How do you respond?  What issues are on the regulatory radar?  This panel will provide you with valuable perspective on the spectrum of violations involved in recent cases and possible sanctions that may be imposed.  Panelists will also explain what matters are more likely to settle and what negotiation strategies are most likely to lead to a "win-win" resolution. 

Compliance Tools for Investment Advisers
This "back to basics" session targets common filing issues facing investment advisers - from electronic filing of Form ADV Part II to successfully submitting advisory applications and branch office registration filings.  The panel will also cover typical deficiencies arising during the course of an examination of advisory books and records.  Ample time will be provided to address individual questions from the audience.

As an added bonus, Securities Division staff will be available throughout the day to provide general advice or to discuss your individual issues.