Mid-2020, What to Expect… A Look Toward the Future

Regulatory Compliance and Enforcement Webinar Series

July - August


Webinar Series

The McGuireWoods broker-dealer and investment adviser team provided a series of five webinars discussing the future of the regulatory compliance and enforcement space.

What to Expect in Your Next Exam (and How to Prepare)
Wednesday, July 8
Featuring McGuireWoods attorneys Emily P. GordyCheryl L. Haas and Aline M. McCullough

 

What to Expect in SEC and FINRA Enforcement
Wednesday, July 15
Featuring McGuireWoods attorneys Louis D. GreensteinE. Andrew Southerling and Molly M. White 

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What to Expect in the Governance of Markets Post-CAT Implementation
Wednesday, July 22
Featuring McGuireWoods attorneys Noreen Kelly and Helen Moore 

  

What to Expect in Customer Arbitrations and Litigation
Wednesday, July 29
Featuring McGuireWoods attorneys William E. GoydanJeffrey J. Chapman and Steven W. Peretz 

 

 

What to Expect in the Initial Stages of Regulation Best Interest
Wednesday, August 5
Featuring McGuireWoods attorneys Anitra T. CassasAlexander M. Madrid and Aline M. McCullough

 

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Our programs are intended for the benefit of our clients and contacts and we reserve the right to refuse any registration at our sole discretion.
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