Please join us for a roundtable discussion that will explore evolving examination and enforcement trends affecting broker-dealers, investment advisers and investment companies, and their employees.
As the US Securities and Exchange Commission (SEC) expands its use of data analytics and continues to focus on conflicts of interest in the asset management industry, and as Financial Industry Regulatory Authority (FINRA) enforcement continues to play a central role in its regulatory program, the complexities of compliance grow. Our team of securities enforcement and investment management lawyers will discuss SEC and FINRA examination priorities for 2016 and also take a look back at high-impact and first-of-their-kind enforcement actions in 2015.
Topics will include:
This program will be of most value to in-house counsel and senior executives with a strategic compliance role.
CLE credit: CLE credit in IL, NY, and PA is currently pending approval.