Course Code: 788

Duration: 1 half day

Level: Management level

Fee: $395.00

CPE Credits: 4

Prerequisite: College level management training and ten years experience working in the securities industry is recommended (but not required) with senior management responsibilities.

The financial regulation law signed by President Obama on July 21, 2010 will usher in many new changes for financial firms. At more than 2,300 pages, it signifies enormous challenges for financial services professionals and a new era for consumers. Virtually every aspect of the financial markets - from money center banks and investment houses to credit card companies, rating agencies, mortgage lenders, and check-cashers - will be impacted by the coming changes.

As a result of the new law, the Securities and Exchange Commission is required to issue upwards of 100 new regulations for the financial sector. In addition, the Federal Reserve will expand its oversight and the new Consumer Financial Protection Bureau will introduce new rules for organizations that interact with consumers.

Aside from the immediate impact of the new law, a number of studies are proposed to evaluate specific areas of financial operations to determine if additional rules are needed to assure overall soundness of the financial system and to spot emerging risks for market participants.

As regulations take hold, financial institutions will face a new set of demands throughout their organizations.  This symposium provides an overview the Wall Street Reform and Consumer Protection Act and a logical framework for identifying and managing the impending regulatory risk. The broad implications of risk in today's financial services organizations - internal versus external forces and controllable versus uncontrollable - factors will be addressed. 

After attending this half-day symposium, participants walk away with:

• An increased understanding of the Wall Street Reform & Consumer Protection Act
• A framework for identifying and managing regulatory risk

The goal of this symposium is to increase understanding of the recent financial reform with respect to the securities industry

This half-day session will enable participants to:

• Define the major sections of the financial reform act
• Explore the components of legal and regulatory risk with respect to business practices
• Adopt a framework for regulatory risk mitigation

When  registering for this half-day symposium, please let us know if you would like to attend the morning session (9:00am to 12:00pm) or the afternoon session (1:30pm to 4:30pm).