Broker/Dealer Regulation and Enforcement 2018

October 16, 2018

Practising Law Institute (PLI)
New York, NY

Partner Ghillaine Reid will moderate a roundtable discussion at this event. In this program, Compliance Officers will review challenges they face managing compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions.

What Attendees Will Learn

  • Approaches for assessing program effectiveness
  • Strategies for maintaining a robust program
  • International and cross-border regulatory and compliance issues
  • Compliance in the regulatory cross-hairs

More information and registration details are available at the PLI website. For questions, contact Hayley Halvorson at hhalvorson@pli.edu.

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