| 1 апреля 2021 г. |
| 01:00 - 02:00 Eastern Daylight Time |
| 12:00 - 01:00 Central Daylight Time |
| 10:00 - 11:00 Pacific Daylight Time |
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.