Ian Roffman Presents at NRS 31st Fall Compliance ConferencePrint PDF
Ian Roffman, chair of Nutter’s Litigation Department and a partner in the firm’s Securities Enforcement and Litigation practice group, presented at the National Regulatory Services (NRS) 31st Fall Compliance Conference on November 3 in Scottsdale, AZ. The conference provided a comprehensive look at regulations as well as tools to implement an effective compliance program. Ian’s presentation, “Dual Registrants: Navigating Inherent Conflicts of Interest,” explored the unprecedented challenges faced by dual registrants in the wake of changing (and perhaps conflicting regulatory) expectations as well as other issues that dual registrants are forced to confront. Topics included assessing the conflict between suitability and fiduciary standards; describing the latest opinions of the SEC and FINRA, and how they apply to the way a firm conducts business; and exploring the steps one can use to meet the challenges facing dual registrants.