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2020 Year in Review and a Look Forward Webinar

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1 April 2021 г.
01:00 PM - 02:00 PM ET
12:00 PM - 01:00 PM CT
10:00 AM - 11:00 AM PT

Please join a team of Morgan Lewis securities enforcement and investment management lawyers for a program that will explore current enforcement and examination trends affecting broker-dealers, investment advisers, and their employees.

Following the annual publication of the 2020 Year in Review and a Look Forward, our team will review last year’s key SEC and FINRA enforcement developments and high-impact actions, and discuss practical takeaways from the regulators’ enforcement and examination priorities for 2021 and beyond.

This program will be of most value to in-house counsel and senior executives with strategic compliance roles.

Read the 2020 Year in Review and a Look Forward >>

 

CLE credit: CLE credit: CLE credit in CA, FL, IL, NY, PA, TX, and VA is currently pending approval. CLE credit in CT and NJ is pending approval via reciprocity.