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CLE: The Regulators Speak: 2019 Enforcement and Exam Priorities for the SEC and FINRA

Tuesday, April 2, 2019 4:30 PM to 7:30 PM
Boston Bar Association - 16 Beacon Street, Boston, MA

Before you can register to attend this event, you must log into the Boston Bar web site.

Description:

The regulators speak!   Come hear representatives from the SEC and FINRA discuss trends and priorities for 2019.  This panel discussion will cover both regulatory exams and enforcement actions.  Topics to be addressed will include:

  • Examination priorities for 2019:  what the SEC and FINRA are looking for during exams this year
  • Thoughts on best practices for responding to regulatory exams in 2019
  • Promoting compliance: what the SEC and FINRA expect to see out of your compliance programs
  • Enforcement priorities for the SEC and FINRA
  •  Review of significant recent enforcement actions against entities and individuals
  • The latest on insider trading, broker-dealer 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.

The panel will run from 4:30pm-6:30pm with a reception to follow.  

Registration Categories:
Premier Member - Free. Included as part of membership
BBA Member - $140.00
Non-Member - $240.00 
BBA Member - Legal Services/ Government Lawyer - $70.00  
Law Student - $30.00

Sponsoring Section/Committee(s):

Speakers:

 

Contact:

Taylor Richard
trichard@bostonbar.org

 

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