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Jeff Holik featured speaker at Financial Markets Association 25th Annual Securities Compliance Seminar

April 25, 2016

Jeffrey Holik served on the faculty at the Financial Markets Association’s 25th Annual Securities Compliance Seminar, held at the Intercontinental Hotel in Chicago on April 20-22, 2016.  He served as a speaker at the kickoff Panel on Key 2016 Legislative and Regulatory Initiatives, where he focused his remarks on the regulatory impacts and compliance options associated with the Department of Labor’s recently-issued final rules on Fiduciary/Conflicts of Interest/Retirement Advice.  He also served as moderator of the Retail Securities Hot Topics Panel, where he led a distinguished group of industry experts in discussion of FINRA and SEC regulatory priorities, Cyber Security challenges, and Senior Investor concerns. 

 The Financial Markets Association is a leading provider of compliance and risk management programs for securities and bank dealer legal, compliance/risk management and audit professionals.  The full program for the 25th Annual Seminar may be found here.