Pennsylvania Securities Conference Announces Keynote Speaker

HARRISBURG, Pa., July 5, 2017 /PRNewswire-USNewswire/ -- Pennsylvania Secretary of Banking and Securities Robin L. Wiessmann announced today that Alabama Securities Commission (ASC) Director Joseph Borg will be the featured keynote speaker for Compliance 2017, a statewide conference of investment professionals and regulators that will take place October 26, 2017, at the Radisson Hotel Harrisburg in Camp Hill.

Borg has been Director of the ASC since 1994 and is currently President-elect of the North American Securities Administrators Association (NASAA).

"Joe Borg brings with him a wealth of knowledge and experience in the securities industry," Secretary Wiessmann said. "We are honored and privileged to have him as the keynote speaker, and believe Pennsylvania securities professionals will benefit greatly from the insights and perspectives he will share during the conference."

Among his many accomplishments and accolades, Borg has served as a member of the Securities Investor Protection Corporation (SIPC) Modernization Task Force, as well as the Financial Industry Regulatory Authority (FINRA) Dispute Resolution Task Force. He also was a U.S. delegate to an Intergovernmental Expert Group for the United Nations Commission on International Trade and Law (UNCITRAL) and has testified before various committees of the U.S. Senate and U.S. House of Representatives.

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. Compliance 2017 is the first statewide securities conference in Pennsylvania since 2011.

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. 

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