SEC and FINRA 2017 Priorities: A Midyear Update

 

 

 

This webinar provides a mid-year review of financial regulatory priorities, with a focus on SEC and FINRA, as well as a discussion of industry events from 2017 that have contributed to and shaped ongoing compliance priorities.

Speakers Russell Sacks and Jennifer Morton of Shearman and Sterling:

  • Provide insight into statements made by regulators at key compliance industry events;
  • Review 2017 speeches and statements by chief regulatory personnel for practical takeaways; and
  • Lead a roundup of industry hot topics for 2017 such as private wealth and wealth management, investment banking compliance, gifts and gratuities, and diversity and inclusion.

Please complete the form below with the information requested. Once you have filled in the form, you will receive a link to the webinar.

We need this information so that we can make the webinar available to you, and so that we and Shearman & Sterling LLP can keep you updated via email and telephone of our products and services.

Neither Corporate Secretary nor Shearman & Sterling LLP will share this information with any third parties, and will only process it in accordance with our respective privacy policies, available here: Corporate Secretary privacy policy and Shearman & Sterling LLP privacy policy.

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