|04:00 PM - 05:30 PM ET|
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.
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.