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CLE - The Regulators Speak: 2020 Enforcement and Exam Priorities for the SEC and FINRA

Wednesday, March 18, 2020 4:00 PM to 6:00 PM
Boston Bar Association - 16 Beacon Street, Boston, MA

To register for this event, please log in to the Boston Bar web site.

Description:

The regulators speak! Come hear representatives from the SEC and FINRA discuss trends and priorities for 2020. This panel discussion will cover both regulatory exams and enforcement actions. 

Topics to be addressed will include:

  • Examination priorities for 2020:  what the SEC and FINRA are looking for during exams this year
  • Thoughts on best practices for responding to regulatory exams in 2020
  • Promoting compliance: what the SEC and FINRA expect to see out of your compliance programs
  • Enforcement priorities for the SEC and FINRA in 2020  - trends, hot topics, and what to worry about
  • Review of significant recent enforcement actions against entities and individuals
  • The latest on crypto-related enforcement, insider trading, broker-dealer issues, asset management issues, mutual funds, anti-money laundering, cybersecurity, and more

This panel should be of interest to in-house counsel and outside counsel as well as compliance professionals and others at investment advisers, broker-dealers, mutual fund complexes and hedge funds.

Registration Categories:
Premier Member - Free. Included as part of Membership
Sponsor Firm Government Lawyer/ Legal Services – Free. Included as part of Membership

BBA Member - $140.00
BBA Member - Legal Services/ Government Lawyer - $70.00
Non-Member - $240.00 
Law Student - $30.00

Sponsoring Section/Committee(s):

Speakers:

 

Contact:

Stiv Mucollari
smucollari@bostonbar.org

 

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