Unique New York Webinar: Best Practice for Market Conduct Examinations

There will be time at the end for questions. If you would like to submit your questions in advance of the webinar, please email Analise Agy.

Panelist

Benjamin Bodner, Principal, Hinman Straub P.C.

Mark McLeod, Senior Director, Hinman Straub P.C.

Sandra McDermott, Principal, Hinman Straub P.C.

Agenda:

• Description of and Preparation for an Upcoming Market Conduct Examination                                     
• Communication with Examiners and Department Staff
• Market Conduct Examination Items and Issues
• Responding to Exam Findings and Report Findings
• Question and Answer

Registration Information 

• Registration will close Wednesday, September 9 at 9:00 p.m. ET. 
• This webinar is available to all LICONY members free of charge. This program's content is appropriate for both newly admitted and experienced NY attorneys.
• We will only be offering CLE credits for the states listed below. We no longer need to know which state(s) you are requesting CLE for in advance of the program. We encourage members from other jurisdictions to check with their local accrediting bodies regarding potential self-reporting options. Thank you for your understanding.
  • New York
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Connecticut
  • District of Columbia
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Missouri
  • New Hampshire
  • New Jersey
  • New York
  • South Dakota
  • Vermont
  • Wisconsin

About the Webinar Series

• LICONY’s partnership with our Allied Professional Firm members continues with our Unique New York Webinar Series. These webinars, which are free to LICONY members only, focus on a particular subject area and provide an overview of New York's unique approach to the most relevant regulatory requirements for that topic.
• LICONY seeks accreditation to offer CLE credit for each of the webinars. All webinars will be presented on the Zoom platform.