PLI's Broker/Dealer Regulation and Enforcement 2021

In-Person and Via Webcast

Event Location:

PLI New York
1177 Avenue of the Americas
New York, NY

9:00 am - 5:00 pm ET

This program will address key developments and priorities in the regulation and oversight of broker-dealers. The current regulatory agendas are a mix of regular mainstays with new areas of focus including cybersecurity, digital assets, online distribution platforms, FinTech, Anti-Money Laundering, protection of retail investors and financial, market and operational risks, and COVID-19 related issues. PLI's distinguished faculty of regulators, industry experts, and leading practitioners will share their insights and best practices to help you keep up with the changing landscape of the securities business and its regulatory oversight.

Henry Klehm, leader of the Firm's Securities Litigation & SEC Enforcement Practice, will moderate a roundtable of in-house broker-dealer lawyers.

Topics include:

  • Current regulatory issues being addressed by the regulators
  • Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
  • Private securities litigation impacting broker-dealers
  • In-house lawyers' and compliance officers' regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Gurbir S. Grewal, Director, Division of Enforcement, U.S. Securities and Exchange Commission, will provide the luncheon keynote.