Litigation partner Ben Indek and associate Ariel Gursky will speak at the 2018 Securities Industry Institute (SII), the premier executive development program for financial industry professionals. Their March 8 panel, titled “Regulatory Alphabet Soup,” will make clear the distinctions between regulators (SEC, FINRA, Fed, OCC, NASAA, CFTC, etc.), including each regulator’s jurisdiction, authority, and approach.
The session will also describe the current regulatory environment and offer suggestions for best practices for dealing with regulators when the need arises. Their presentation will be of most use to financial services professionals who do not interact with regulators on a day to day basis, including individuals in human resources, marketing, strategy, finance, and technology.
SII, held annually in conjunction with The Wharton School, brings together high-potential, rising talent from across the industry to learn from authorities on topics which enhance their leadership and managerial abilities and augment their investment and industry knowledge.