Monday, March 28, 2022 12:30 PM - 1:30 PM (ET)
Michael Rasmussen64634651685168mrasmussen7@fordham.edu
2022 SEC and FINRA Examination and Enforcement Priorities
rHear directly from the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) SEC and FINRA leaders about these priorities, and from legal and compliance practitioners on what they mean for the financial services industry.
Monday, March 28 | 12:30PM - 1:30PM EDT
Held via Zoom
Click Here to Register
CLE and CPE credit available.
Featuring:
In partnership with:
Speakers:
Richard Best, Director, New York Regional Office, U.S. Securities and Exchange Commission
Charu Chandrasekhar, Counsel, White Collar & Regulatory Defense Group, Debevoise & Plimpton
Christopher Kelly, Senior Vice President and Deputy Head of Enforcement, Financial Industry Regulatory Authority
Venetia Woo, Principal Director, Regulatory Strategy & Capital Markets Lead, Accenture
Moderated by:
Aaron Mendelsohn, Principal Director, Digital Risk & Compliance, Accenture