Where Does the Financial Industry Stand Today?
Managing Money In a Post 2008 Regulatory Environment
5:30 pm – 7:00 pm – Cocktails and Heavy Hors D’oeuvres
The "Putting Investors First" panel program will discuss key regulatory issues pertinent today and tips for managing and thriving in this environment and current ethical mandates and responsibilities. It aims at promoting awareness of best practices in asset management including:
- Current And Emerging Regulatory Trends
- Discovery And Prevention Of Investor Fraud
- Fairness And Transparency In The Financial Markets
- Ethical Dilemmas And Gray Areas
Expert speakers and panelists, including regulators and practitioners, panelist representatives will include:
· Moderator – James Jones, CFA – CFA Board of Governors
· David Woodcock - Regional Director of the Securities and Exchange Commission’s Fort Worth Regional Office and Chair of the Enforcement Division’s Financial Reporting and Audit Task Force
· Scott H. Maestri - Associate District Director in FINRA’s Dallas Office.
· Eric Boyce, CFA – Sr. Portfolio Manager, MacDonald Capital Management
Hosted jointly by CFA Societies Texas and CFA Society Austin. Join us for this lively panel discussion and Q&A on May 19th. Continuing Education credits (SER) will be given for this event.