Securities regulators are turning to big data to increase their enforcement firepower, a move that could eventually help them more easily uncover breaches of suitability in investment product sales.
A New York appeals court recently reinstated the conviction of a former Goldman Sachs programmer under a 50-year-old statute, a “common sense” approach to criminalizing data theft in the absence of a clear state law, attorneys say.
Fireside Chat with Michael J. Osnato, Jr., Recently Departed Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission, Moderator, SIFMA Leader and Experts Forum.
Panelist on Securities Industry and Financial Markets Association (SIFMA) Leaders and Experts panel called Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data Driven Age.
This half-day CLE discussion forum will feature two panels of leading in-house and outside counsel, SEC and FINRA, and SIFMA leaders and experts who will discuss regulatory priorities, ways to successfully manage regulatory investigations and enforcement matters, valuable insights into current FinTech/RegTech developments actively used by regulators and the industry, and ways that financial services firms can use data and regulatory analytics to derive and support solutions.
Murphy & McGonigle's New York office participated in the Daily News food drive again this year, and it was a raging success.