Norton Rose Fulbright New York office’s next financial services briefing is a luncheon seminar set for Thursday, November 2, 2017, at 12:00-1:00 PM EDT. Each month, Norton Rose Fulbright’s senior practitioners will provide interested in-house counsel and professionals with an insightful discussion on current regulatory trends within the financial services sector.
The November briefing will be both live and by webinar; it will start with registration and lunch starting at 11:30 AM. The program begins at 12:00 PM and concludes at 1:00 PM.
The November briefing will cover trends in enforcement at both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). In recent years, the SEC and CFTC have pressed forward with broad and aggressive enforcements programs. With new leadership setting the agenda at the SEC and the CFTC, what changes can the industry expect to see? What enforcement priorities will the SEC and CFTC be focusing on as they continue to police the markets?
Our program will help you keep up with the latest enforcement developments and will offer practical insights for avoiding and responding to SEC and CFTC investigations.
Topics will include:
- Financial and accounting fraud
- SEC cyber initiatives
- Insider trading developments
- Spoofing cases
- Whistleblower update
Kevin Harnisch Partner, Norton Rose Fulbright
Michael Loesch, Partner, Norton Rose Fulbright
Please register now for the November 2 briefing.