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Sutherland was proud to sponsor the NSCP National Membership Meeting in Alexandria, VA, October 24-26, 2005. In addition to sponsoring this year's meeting, three Sutherland partners were featured speakers.
Holly Smith's session, Broker-Dealer Regulatory Audits – What You Need to Know, offered information for preparing an audit, dealing with contingencies, the exit interview and follow-up, and hot new issues.
Susan Krawczyk's session, Broker-Dealer Books and Records Requirements and How to Meet Them, offered information on AML issues; every three year re-validation of customer information; in-branch and "as to each office" records; supervisory, exception and compensation reports; and email.
Bibb Strench's session, Investment Adviser Disclosure, addressed issues in preparing Form ADV, disclosing conflicts of interest and other disclosures to consider on Schedule F, Electronic Form ADV, and advisory client contracts.