2015 SEC Enforcement Initiatives and Controls to Defend Them

2015 SEC Enforcement Initiatives and Controls to Defend Them


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About The Event

This training program will detail new SEC enforcement initiatives and discuss the SEC enforcement mindset. It will also discuss SEC enforcement trends over time and controls to put in place to prevent exposure.

Why Should You Attend:
This webinar will highlight the newest initiatives arising from the SEC’s Enforcement Division and will provide practical information on how companies can defend themselves from SEC enforcement actions. It will also describe how to put controls in place to reduce exposure and liability.

Who Will Benefit:
Compliance Officers
Offices of General Counsel
Compliance Personnel /Risk Assessment Professionals
Internal Investigators and Auditors
Operational Managers
CEOs and Senior Management Officials in Small to Mid-Size Firms

Instructor Profile:
H. David Kotz presently serves as a managing director at Berkeley Research Group (BRG), a leading global expert services and consulting firm. He is a member of BRG’s Capital Markets Practice, where he specializes in the regulation of and securities trading by broker-dealers, investment advisers, hedge funds, insurance companies and banks.

Use coupon code 232082 and get 10% off on registration.

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