2014 SIFMA Compliance and Legal Society Regional Seminar — Charlotte

September 22, 2014

Litigation partner Amy Greer will present on “Hot Topics in Securities Enforcement” at the SIFMA Compliance and Legal Society Regional Seminar in Charlotte, NC.

This one day seminar will also feature presentations by leading securities regulators and industry professionals. Topics include:

  • Securities sales to an aging population
  • Building a Volcker Rule compliance program
  • Update on eDiscovery trends and developments
  • CCO roundtable
  • Managing and maintaining the attorney-client privilege in the context of examinations and investigations
  • Investment advisers, current issues
  • Hot topics in AML and OFAC compliance

Monday, September 22, 2014
9:30–10:45 am

The Ritz-Carlton, Charlotte
201 East Trade Street
Charlotte, NC