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.
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