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Enforcement Initiatives, Developments and Priorities

SKU: FIN4200
Total Credits
1 - 1.2
Price$50
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Description

This CLE session provides an overview of the newly restructured Enforcement department, including how the department works with examination and surveillance groups across FINRA to develop Enforcement matters. The session will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforcement’s decision-making. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices. Panelists will also provide information and insight on navigating enforcement investigations and the disciplinary process.

After attending this session, you will be able to:

  • Discuss Enforcement’s structure and the way it works with other FINRA departments.
  • Summarize key principles that guide Enforcement outcomes, including risk-based decision-making, restitution to customers, and avoiding regulatory duplication.
  • Discuss recent Enforcement matters, and how they reflect FINRA’s priorities, including individual liability and credit for extraordinary cooperation.
  • Understand and implement effective responses to regulatory inquiries and rule violations.

Lecturer Bios

Susan Schroeder, Esq.

Susan Schroeder is the Deputy Chief of FINRA’s Department of Enforcement, responsible for Enforcement’s home office in New York. Prior to joining FINRA, she was a partner in WilmerHale’s Securities Litigation and Enforcement practice, where she specialized in SEC, FINRA, and state enforcement actions. She began her legal career as a litigation associate at Kirkland & Ellis. She received her J.D. from NYU School of Law, her M.A. from the University of California at Davis, and her B.A. from Georgetown University. She is a member of the New York bar.

Jessica Hopper

Jessica Hopper is FINRA’s Senior Vice President of Regional Enforcement, responsible for the Department of Enforcement’s attorneys and professionals in 15 District Offices throughout the country. She oversees the nationwide disciplinary proceedings that regional Enforcement brings against broker-dealers and registered representatives for violations of FINRA’s rules. She joined FINRA Enforcement in 2004 and served as a Director in FINRA’s Washington D.C. home office until 2011. Prior to joining FINRA, from 2000 to 2004 she was a member of the Legal & Compliance Department of Legg Mason Wood Walker, Inc.’s, where her responsibilities focused on retail sales compliance issues. Earlier in her career, she was an associate at a law firm and an editor in legal publishing.

Christopher Kelly

Christopher Kelly serves as the Regional Chief Counsel for the North Region of FINRA’s Enforcement Department. As Regional Chief Counsel, Mr. Kelly oversees the work of the Enforcement Staff in the Boston, New Jersey, and Philadelphia District Offices. Prior to joining FINRA, Mr. Kelly served as Deputy Chief of the Criminal Division at the U.S. Attorney’s Office for the District of New Jersey. In that role, Mr. Kelly supervised more than 35 Assistant U.S. Attorneys in the Office’s white collar units: Economic Crimes, National Security, Healthcare and Government Fraud, and Cybercrime. Prior to his promotion to the position of Deputy Chief, Mr. Kelly served as the Chief of the Economic Crimes Unit at the U.S. Attorney’s Office, where he oversaw the Office’s prosecution of complex economic crimes, including crimes involving insider trading, securities fraud, tax evasion, bank fraud, corporate fraud and embezzlement. Mr. Kelly also served as the lead prosecutor on several complex matters, including U.S. v. Tiger Asia, one of the first ever criminal prosecutions of a hedge fund. Mr. Kelly graduated from Duke University and Harvard Law School. Prior to joining the U.S. Attorney’s Office, he was an associate at the law firm Dechert LLP. Mr. Kelly also clerked for the Honorable Joseph E. Irenas, U.S. District Court Judge for the District of New Jersey.



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