Experts will address the following questions and issues:
- Whats a "reasonable basis"?
- Whats a "recommendation"?
- What are the "essential facts" new "profile" requirements.
- The Three Duties their "sub-duties" and pitfalls
- Document and Proving Compliance
PRESENTERS:
Thomas K. Potter III is a partner in Burr & Forman's Business Litigation practice, and Managing Partner of its Nashville office. Mr. Potter has 26 years of experience litigating corporate, securities and intellectual-property matters. He handles regulatory and enforcement matters. He is listed in The Best Lawyers in America (TM) (Woodward/White, Inc.) in the area of Business Litigation. Mr. Potter is on the Advisory Board of the RICO Law Reporter. He sits as an FINRA-DR arbitrator. He writes and speaks frequently on his areas of interest.
Peter von Maur is a Director and Senior Counsel in the Law Group of RBC Capital Markets, LLC based in New York. Mr. von Maur provides legal support to the firms capital market businesses on a broad range of industry-related matters including; regulatory investigations and enforcement proceedings, compliance practices and procedures, emerging regulatory issues, cross-border issues, and securities lending, prime brokerage and operations-related matters. He periodically speaks on these topics at industry conferences, and is a contributor to industry publications. He is an adjunct professor at New York Law School, member of Editorial Board of the Journal of Securities Compliance and Chairman of the NSCP's Large Broker-Dealer Committee. Mr. von Maur has practiced in the securities industry for over twenty years. He has previously worked as internal counsel for Prudential Securities Incorporated and Citibank. Mr. von Maur is a graduate of Franklin and Marshall College and New York Law School. He holds a Series 7, 24 and 55 securities licenses.
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