Moderator
Panelists
Peggy Fox
General Counsel
RegEd, Inc.
Adam Pollet
Counsel
Eversheds Sutherland
Brian Rubin
Partner
Eversheds Sutherland
Joseph Borg
Director
Alabama Securities Commission
Susan Light
Partner
Katten Muchin Rosenman
FINRA, SEC and State Securities Enforcement Trends
Overview
FINRA, the SEC and state regulators have stepped up enforcement efforts in recent years, resulting in unprecedented sanctions. This panel of compliance and legal experts will discuss these regulators’ enforcement priorities and methodologies, and examine lessons from recent cases that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
This webinar features a panel of compliance and legal experts who discuss the recent FINRA and State Securities enforcement trends.
About RegEd
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.