Please join us for a panel presentation and discussion that will explore evolving enforcement and examination trends affecting broker-dealers, investment advisers, investment companies, and their employees.
Our team of securities enforcement and investment management lawyers will discuss SEC and FINRA enforcement and examination priorities for 2019 and take a look back at some of the high-impact enforcement actions and developments from 2018.
This program will be of most value to in-house counsel and senior executives with strategic compliance roles.
For more information, please email Kate Lesko.
CLE credit: CLE credit in NY and PA is currently pending approval. CLE credit in CT and NJ is pending approval via reciprocity.