About This Course
This CLE session provides and overview of new developments and trends in enforcement, including enforcement priorities, as well as policy changes and clarifications, particularly regarding information requests. 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 retaining and working with outside counsel.
- Summarize self-reporting and cooperation processes.
- Understand and implement responding to regulatory inquiries and subpoenas.
- Review and digest lessons learned and firm resources.