Third Annual Securities Seminar
January 22, 2015
50 South Sixth Street
Industry experts from Thrivent Financial, Galliard Capital Management, Piper Jaffray Companies, Pine River Capital Management L.P., Ameriprise Financial, Inc., Royal Bank of Canada, and Anderson PLC, as well as knowledgeable Dorsey attorneys, will be speaking at the Third Annual Securities Seminar to be held January 22 at the Minneapolis office of Dorsey & Whitney. The conference will provide an insightful discussion regarding significant enforcement activities directed at broker dealers and investment advisors in 2014, what to expect in 2015 and how to prepare for what is to come. The seminar will also cover how your company should respond to requests from the DOJ and SEC. For additional information about this event or on how to register, please contact Dorsey Events.