Navigating the Future of the Broker-Dealer Industry
The broker-dealer industry is entering a period of significant transformation. Evolving regulatory expectations, advances in technology and AI and the emergence of tokenized securities are reshaping how firms operate, compete and grow. Join us for an exclusive symposium examining these developments and what they mean for your business.
KEY TOPICS:
- Navigating the New Regulatory Landscape – Broker-Dealer Hot Topics
- AI Enterprise Risk Management and SEC Rule 17(h)
- Tokenization of Securities: Is the Capital Markets Revolution Finally Here?
Don’t miss this opportunity to stay ahead of change and connect with top industry minds.
HOSTS
Don Melody, PKF O’Connor Davies
Victor Pena, PKF O’Connor Davies
MODERATOR
Stephen Murphy, Integrated Compliance Consulting
PANEL – Navigating the New Regulatory Landscape – Broker-Dealer Hot Topics
Mark Borrelli, Huntington Capital Markets
Elin Cherry, Copper Markets
Jeff Levine, Mesirow Financial
Jay Gettenberg, ACI
Elizabeth Kettler, Stout
PANEL – AI Enterprise Risk Management and SEC Rule 17(h)
Marina Baranovsky, Scitus Consulting
Nicolette Denney, TZ Clear
PANEL – Tokenization of Securities: Is the Next Capital Markets Revolution Finally Here?
Junnette Alayo, Galaxy Digital
Chris Meyers, ACI
Don Melody, PKF O’Connor Davies
Betsy Voter, Michael Best
Sarah Riddell, K&L Gates