2020 SEC and FINRA Enforcement and Examination Trends - New York

Please join us for a panel presentation and discussion that will explore current enforcement and examination trends affecting broker-dealers, investment advisers, investment companies, and their employees.

Our team of securities lawyers will review last year’s key SEC and FINRA enforcement developments and high-impact actions and outline the regulators’ enforcement and examination priorities for 2020.

TOPICS INCLUDE:

SEC 

• Enforcement Trends, Initiatives, and Focus Areas
• Litigation and Trial Updates
• Whistleblowers
• Exam Priorities

FINRA

• Credit for Extraordinary Cooperation Guidance
• New Enforcement Leadership and Changes to the Examination Program
• Enforcement Trends
• Key Examination Priorities

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.