About the Event
POSTPONED: Thursday, June 25, 2020 at 1560 Broadway, Suite 1900, Denver, CO 80202
- 9:00-11:30 AM: Morning Session - Regulatory Compliance
- 1:00-4:00 PM: Afternoon Session - Enforcement Topics
The Colorado Securities Industry Workshop has as its goal the enhancement of communication and collaboration between state regulators and the securities industry when it comes to their joint mission of providing Colorado investors with the best and safest investment services and products. Therefore, this event is an opportunity for transparent and honest interaction about the issues of concern for both regulators and those working in the securities industry.
- Attendees will get a thorough picture of what “best practices” look like from the Division’s point of view as it relates to compliance with licensing and registration requirements, updated rules and regulations, and facilitation of routine examinations.
- Attendees will also receive a briefing on current enforcement trends, and have the opportunity to make recommendations about how to further weed out bad actors that can tarnish the image of law-abiding securities professionals. Investigators with the division will also provide insight into how a complaint against a licensee is handled, and how decisions are made regarding disciplinary actions or complaint resolution.
- Finally, attendees will have the opportunity to hear about regulatory topics of interest, including insight into how Colorado in particular is approaching them, such as elder financial exploitation and cybersecurity protections, as well as emerging products like cryptocurrency, blockchain, and financial technologies. The Division will welcome comments and recommendations about how to work with industry on the changes to the securities field that are forthcoming due to the legislation, technological developments, and client protection concerns moving forward.
- SEC & State -Registered Investment Adviser Representatives
- Securities attorneys
- Compliance Officers
- Other interested parties or prospective licensees