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Rick White attended the Financial Planning Association of Florida's 2009 Leadership Summit on October 21, 2009 in Orlando, Florida. This conference was designed to open up thinking and explore new possibilities regarding “The Future of the Profession”. |
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Rick White moderated a panel on Regulatory Examinations of investment advisers at the 2009 Market Counsel Member Summit on October 23, 2009 in Plainsboro, New Jersey. The panel discussed what investment advisers can expect during a regulatory examination, and how to deal effectively with regulators. The panel included a state examiner and an SEC examiner. Rick also offered his unique insights as a former regulator in the State of Florida. |
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Rick White was a speaker at the the Daily Business Review, Financial Services Roundtable on November 19th, 2009 in West Palm Beach, Florida. The panel, entitled “Securities Issues in a Post Madoff Environment: Financial Fraud - How it's accomplished, how to detect it, how to recover from it” was sponsored by the law firm of LaBovick & LaBovick, P.A., and will be held at the Phillips Point Club in West Palm Beach. |
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On August 3rd – 6th, 2009 Rick White served as a speaker and a group leader at the NASAA Investment Adviser Training Program. This program was designed to teach state securities examiners how to conduct examinations of investment advisers. Rick taught a session on “Interviewing the Victim” in a securities investigation, and led a group of examiners through a “mock examination” of an investment adviser. |
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