Putting Investors First – Changes in Our Industry’s Regulatory Environment Since 2008; How Is It Impacting Our Industry and What Can We Do as Investment Professionals.
The “Putting Investors First” panel program will discuss the current ethical mandates and responsibilities, key regulatory issues pertinent today and tips for managing and thriving in this environment. It aims to discuss and promote awareness of best practices in asset management including:
- Current and emerging regulatory trends
- Discovery and prevention of investor fraud
- Fairness and transparency in financial markets
- Ethical dilemmas and grey areas.
The panel, hosted jointly by CFA Societies Texas and CFA Society San Antonio, will include a CFA Institute Governor, SEC Director, FINRA Director, Texas State Security Regulator, and practitioners from our CFA Society San Antonio.