- This event has passed.
NASAA 2019 Annual Meeting
September 8, 2019 - September 10, 2019
Oyster Associate Director Bill Reilly will be attending NASAA’s 2019 Annual Meeting in Austin, TX September 8-10th. Discussion Topics include:
- Standards of Care/Regulation Best Interest
- A True David and Goliath Story: How State Securities Regulators Helped Tackle a Wall Street Giant
- Enforcement and Examination Initiatives to Protect Retail Investors
- International Regulatory Update
Bill Reilly leverages his examination expertise and relationships with state and federal regulators and self-regulatory organizations to guide broker-dealers and investment advisers through both proactive and reactive regulatory processes and compliance issues. Among others Bill conducts FINRA Rule 3120, Supervisory Control Reviews, Annual Compliance Reviews for federally and state-covered investment advisers, creates and/or updates policies and procedures for opening and monitoring senior and vulnerable adult client accounts, has been retained as an expert witness by law firms representing industry participants in arbitrations and regulatory matters, updates policies and procedures for both broker dealer and investment advisers, and acts as an independent third party in reviewing firm activity prior to and as a result of regulatory actions and settlements.