Join Mitch Atkins, Founder and Principal, FirstMark Regulatory Solutions, Inc., at the Third Annual American Bar Association Litigation Section’s Current Issues in FINRA Arbitration and Enforcement Regional CLE Program. Atkins will be presenting on the third panel: In-House Insomnia: What Keeps Lawyers and Compliance Officers Up at Night? The panel will cover key topics of relevance to compliance personnel and attorneys focusing on securities matters. The panel will cover pressing compliance concerns including:
- Technology and Surveillance – data mining, surveillance, and reporting
- Culture of Compliance – how it influences the day-to-day activities within a broker-dealer
- Regulation Best Interest – what firms are doing to prepare for the June 30, 2020 implementation date
- Regulatory Inquiries and Investigations – responding to requests for information and handling concurrent investigations
- Regulatory Examinations – preparation for examinations, responding to inquiries, problem mitigation, and costs
- Business Considerations in Compliance – increasing costs of burdens of regulation, changing demographics and more
The panel’s speakers include broker-dealer compliance officers, in-house counsel and outside counsel. The session takes places at 11:15 AM on Thursday, February 20, 2020 at the offices of Bressler, Amery & Ross PC at 200 E. Las Olas Blvd., in Fort Lauderdale, Florida.
FirstMark Regulatory Solutions provides compliance consulting services to broker-dealers and investment advisors. Founded in 2013, FirstMark provides expert advice and compliance consulting services. Areas of specialty include anti-money laundering independent testing, supervisory controls testing, FINRA membership applications, including FINRA CMA change of ownership and material change applications, among many other services offered.
Mitch Atkins has over 25 years of experience in the securities industry, having started work at NASD (FINRA’s predecessor) in the early ’90s as an examiner trainee. He worked his way up through the district office structure, working in virtually every district role until he was named the head of the Long Island office of NASD. Later, he was promoted to District Director of the Florida District Office of NASD, which became FINRA In 2007. He then became FINRA’s Senior Vice President and Regional Director covering four district offices in the FINRA South Region, overseeing regulation of approximately 850 broker-dealers. Since 2013, when he founded FirstMark, Atkins has been helping broker-dealers comply with the various SEC and FINRA Rules.
Download the brochure and register by clicking here.