Speaking Engagement - Teaching at Wharton, with the FINRA Institute

Morgan Lewis’s Georgia Bullitt will be speaking at this event.

Over five days, Wharton professors explore a series of advanced-level regulatory and compliance topics that help participants build on previous courses.

Topics include:

• In-depth analysis of the evolution of specific securities statutes and rules: review of federal securities statutes not previously examined, including the Investment Company Act, the Investment Advisers Act, the Securities Investor Protection Act and the Trust Indenture Act
• Hiring issues: compliance, standards and risks
• Effective oversight of mutual fund products, compliance and regulatory issues
• Regulatory standards for the distribution and sale of variable insurance products
• Derivatives and regulatory issues: use of financial derivatives, compliance and regulatory issues
• Suitability issues: practical challenges and solutions
• Internal controls: supervisory tasks and systems with emphasis on implementation
• State securities laws: their scope, requirements and application
• Regulatory interactions: best practices models
• Regulatory challenges and future market trends

When:
June 3, 2008

Where:
Wharton School in Philadelphia
Philadelphia, PA

For more information, please visit the conference site.