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Regulatory Update for State Registered Investment Advisors
Presentation Scheduled for Monday, October 17, 1:50-2:40 pm
Anticipated CE: 1 MN insurance, 1 CLE Standard & 1 CIMA
Approved CE: 1 CFP, 1 WI insurance, 1 NASBA/CPE
Please join Michael Marben and Martin Fleischhacker from the Minnesota Department of Commerce on October 17, 2017–1:50-2:40 pm for their presentation with the Financial Planning Association of Minnesota Symposium 2017.
Fleischhacker, Assistant Commissioner of the Enforcement at Commerce, will discuss the Department’s mission and involvement with both consumers and businesses as an important resource, as well as the Enforcement Division’s duties. He will also outline Commerce’s clients in the Department’s 20+ regulated industries.
Marben, Director of Special Investigations of the Commerce Fraud Bureau, will explain the Commerce Fraud Bureau’s role and mission, “to protect Minnesotans from fraud by conducting aggressive criminal investigations in the pursuit of justice.” He will discuss the economic impact of Fraud Bureau cases, including what and who are being funded from fraudulent successes. Marben will also review specific cases of fraud and trending, fraudulent crimes.
There will be an opportunity to ask questions after the presentation.