NASAA to Discuss Enforcement and Deterrence at 2016 Public Policy Conference
The North American Securities Administrators Association ("NASAA") will examine the role of enforcement as an extension of public policy at the 2016 NASAA Public Policy Conference on May 16, 2016. Conference panels also will discuss challenges to prosecutors that are posed by the increasing complexity of securities fraud and white-collar crime.
Click here to register for the NASAA 2016 Public Policy Conference.
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The North American Securities Administrators Association adopted a model act titled "An Act to Protect Vulnerable Adults from Financial Exploitation." The model act (i) applies to adults age 65 and older, and to individuals who qualify for protection under a state adult protective services statute, and (ii) defines "qualified individuals" as broker-dealer agents; investment adviser representatives; those who serve in a supervisory, compliance or legal capacity for broker-dealers and investment advisers; and any independent contractors who may be fulfilling any of those roles.
