Bates News,Industry News - 01-19-17

Join Bates Group and SIFMA at the NYC Leaders & Experts Forum on January 26th

 

SIFMA and Bates Group are pleased to co-host the 2017 Leaders & Experts Forum: Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data-Driven Age on Thursday, January 26th, 2017, at the SIFMA Conference Center in New York City.

With the SEC’s and FINRA’s 2017 regulatory and enforcement initiatives announced and a new White House administration and agenda taking shape, please join SIFMA and Bates Group as we convene industry leaders and experts to provide their perspectives and critical insights on navigating the regulatory landscape in this big data-driven age.

 

PANEL 1: REGULATORY INVESTIGATIONS AND ENFORCEMENT
  • 2017 Regulator Priorities and Focus; DOL and State Involvement
  • Investigation Practice Insights and Self Disclosure – Benefits and Risks
  • Managing Internal Stakeholder and Regulator Communications
  • Information Gathering: Use of Experts, Privacy and Privilege Issues
  • Handling Parallel Proceedings
  • Litigation/Settlement Considerations; Waivers and Admissions; Penalties and Sanctions

PANEL 2: RESPONDING TO REGULATORY INQUIRIES IN THE BIG DATA AGE: IS YOUR FIRM READY?
  • FINRA and SEC Required Data Reporting; Data Integrity and Possible Sanctions Faced
  • SEC, FINRA, State, Non-U.S. RegTech and Big Data Developments – What You Need to Know
  • Firm Data Requests; Regulator Expectations
  • Challenges and Opportunities for Firms
  • 2017 Regulatory and Big Data Outlook

Attendees may earn 3 CLE credits. A networking reception will follow the program.
 

Click Here to Register Now!

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