transcript   Transcript

SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Recorded on: Oct. 17, 2018
Running Time: 01:37:35

Full Transcript:

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Taken from the Web Program Broker/Dealer Regulation and Enforcement 2018 Recorded October 2018 in New York

SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers [01:37:35]

Senior regulators will discuss their enforcement initiatives, developments and priorities.

  • Significant SEC, CFTC and DOJ enforcement initiatives
  • FINRA examinations and enforcement
  • Market abuse, including cyber-crime, cryptocurrency, market manipulation, insider trading; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud,; AML; spoofing; FCPA; financial reporting; gatekeepers; and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Wayne M. Carlin, Jacquelyn Kasulis, Lara Shalov Mehraban, Susan Schroeder, Manal Sultan

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • SEC, CFTC, DOJ and SRO Enforcement of Broker/Dealers: Recent Developments
    Wayne M. Carlin, Carol Miller
  • Cui Bono? The (Latest) Personal Benefit Test in Insider Trading Cases (July 31, 2018)
    Joseph L. Zales, Carmen J. Lawrence
  • The SEC Enforcement Landscape for Broker-Dealers and Investment Advisers (August 24, 2018)
    Collen P. Mahoney, Joshua A. Ellis, Andrew M. Lawrence, Charles F. Walker
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Jacquelyn Kasulis ~ Chief, Business and Securities Fraud Section, U.S. Attorney's Office, Eastern District of New York, U.S. Department of Justice
Carmen J. Lawrence ~ King & Spalding
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission,
Manal Sultan ~ Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
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