07-09-20
Regulatory Exams and Investigations in the Age of COVID-19
Recorded: July 9, 2020 at 2:00 p.m. Eastern (1 hr.)
Presented by: Bates Group and Eversheds Sutherland
Please join Eversheds Sutherland attorneys Brian Rubin and Sarah Sallis and Alex Russell, Bates Group Managing Director, White Collar, Regulatory and Internal Investigations, for a webcast to discuss FINRA’s process of exams and investigations and enforcement topics in the age of COVID-19. Specifically, speakers will cover:
- Process of exams and investigations
- Overview of the Eversheds Sutherland study on FINRA sanctions
- Private placements including fraud regarding COVID-19 scams
- Insider trading, including trading on information related to the pandemic
- Leveraged and volatility-linked products including misrepresentations, omissions and suitability related to the economic impact of the pandemic
- Variable annuities supervision and exchanges