PA Wolf Administration Announces Statewide Conference to Assist Investment Professionals on Compliance, Regulatory Changes

HARRISBURG, Pa., June 6, 2017 /PRNewswire-USNewswire/ -- Secretary of Banking and Securities Robin L. Wiessmann today announced a statewide conference of investment professionals and regulators that will take place October 26, 2017, at the Radisson Hotel Harrisburg in Camp Hill.

Compliance 2017 is designed to keep investment professionals and their firms up-to-date on changes to federal and state securities laws and regulations. The conference will focus on a wide range of industry-related topics, such as the examination process, cybersecurity, federal regulatory changes, fiduciary duties, and top concerns of regulators, the securities industry, and the investing public.

"This conference will provide a distinctive opportunity for members of Pennsylvania's securities industry to meet in one place to discuss issues of importance to investing, regulatory matters, and investors," said Secretary Wiessmann. "Our goals are to help ensure the professionals and firms we supervise understand the rules under which they are expected to operate, help them navigate Pennsylvania and federal regulatory structures, and learn how to protect their clients from fraud and financial abuse."

The conference revives a program last held in 2011, which had been sponsored by the former Pennsylvania Securities Commission. The cost of attendance is $175 per registrant. For more information and to register online, visit: www.dobs.pa.gov/For%20Media/Pages/Compliance2017.aspx.  

Attendees may book hotel accommodations by calling (800) 333-3333 (identify yourself as a Compliance 2017 participant and use the promotional code "PADBS") or online by visiting: www.radisson.com/reservation/resEntrance.do?pacLink=Y&promoCode=PADBS&hotelCode=PACAMPHI   

The PA Department of Banking and Securities registers more than 200,000 broker-dealers, broker-dealer agents, investment advisers, investment adviser representatives, and notice filers who conduct securities-related business in Pennsylvania. Members of the securities industry are invited to connect to the department through Facebook and Twitter, or subscribing to the department's newsletter.

MEDIA CONTACT: Ed Novak, 717-783-4721

SOURCE Pennsylvania Department of Banking and Securities

Related Links

http://www.dobs.pa.gov