The financial crisis poses serious challenges to all industries, especially to broker-dealers who face a drastically changed marketplace and increased regulatory scrutiny. Despite these struggles, there may be opportunities for broker-dealers to emerge from and move forward in the economic crisis.
This Foley Executive Briefing Series program focused on strategies for enduring the financial crisis and adapting new business models needed for the uncertain future ahead.
Topics included:
Industry trends, opportunities, and risks
Merger and acquisition considerations and strategies
FINRA enforcement issues and guidance
Regulatory developments for financial services companies
Speakers
Edwin D. Mason Foley Partner, Transactional & Securities and Private Equity & Venture Capital Practices
Richard G. Wallace Foley Partner, Securities Enforcement & Litigation Practice, and Former Vice President and Chief Counsel, FINRA Market Regulation Department
Moderators
Martin A. Traber Foley Partner, Private Equity & Venture Capital and Transactional & Securities Practices
William E. Davis Managing Partner, Foley’s Miami office, and Partner, General Commercial Litigation and Intellectual Property Litigation Practices
To learn more about this program, please contact Elie Harris at eharris@foley.com.
Strategies for Broker-Dealers: Moving Forward During Economic Difficulty is part of the Foley Executive Briefing Series.
