CPE Broker-Dealer Accounting Conference 2016

November 15, 2016

Litigation partner Amy Greer will speak at the CPE Broker-Dealer Accounting Conference in New York City. Amy will present on “Updates on SEC Initiatives” and discuss the following topics:

  • Current SEC enforcement developments
  • 2016 enforcement priorities
  • Notable enforcement cases affecting broker-dealer accounting
  • Focus on financial fraud reporting 
  • Internal controls over financial reporting     
  • High-risk broker-dealer trading
  • Anti-money laundering/suspicious activity
  • Data-based enforcement initiatives

CLE credit: Eight (8) hours of CPE credit are available.