Title

Webcast: So, Now You Own a Broker-Dealer!
Regulatory Considerations for Integrating a Brokerage Firm into a Corporate Group
1.0 CLE Credit(s): CA – General; NY – Professional Practice / Practice Management

Created date

9/27/2017

Please join the Davis Polk Financial Institutions Group and Oliver Wyman for a webcast discussion on the regulatory issues faced when integrating a broker-dealer.

The webcast reviews our memo on common regulation-driven integration considerations. 

 WEBCAST SLIDES 

 CLE FORM

 Memo: So, Now You Own a Broker-Dealer!

 


Speakers

Lanny A. Schwartz
Mr. Schwartz is a partner in the trading and markets practice within Davis Polk's Financial Institutions Group. He advises on securities and derivatives compliance, regulatory and transactional matters and enforcement.

Hilary Sunghee Seo
Ms. Seo is counsel in Davis Polk’s Financial Institutions Group. She advises major international banks, broker-dealers and other financial institutions on regulatory, compliance and transactional matters, with a particular focus on derivatives and broker-dealer regulation.

Nancy Lee
Ms. Lee is an associate in Davis Polk's Financial Institutions Group.

Allen Meyer
Mr. Meyer is a Partner at Oliver Wyman and Head of Oliver Wyman’s Compliance practice. Previously he served in various Compliance Head roles at Barclays, Credit-Suisse and UBS. He has substantial experience in building Compliance processes, systems and control frameworks.

Elena Belov
Ms. Belov is a Principal at Oliver Wyman. She is part of the Financial Services and Organizational Effectiveness practices. She advises on compliance and risk management, corporate governance, and organizational optimization.


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