Responding to FINRA Investigations: Ins and Outs, Best Practices and Technology Considerations
Event Date(s):
10/11/2017
Learn how FINRA conducts its enforcement investigations with specific focus on how technology can help. Topics will include:
- Rule 8210 Request for Documents
- Technology Considerations
- On the Record Testimony
- Confidential Treatment
- Sanctions
- Acceptance, Waiver and Consent
- Contested Hearings
- Best Practices
Presented by Heather B. Middleton, Richard N.P. Naylor, Theodore R. Snyder (all of Murphy & McGonigle) and Claire Tafelski (Deputy General Counsel, Stifel)
Attorneys
More Events
- Surveillance and Spoofing to be Focal Areas for July 10th CLE: Commodities & Derivatives
- Murphy & McGonigle 2019 CLE Breakfast Series: FINRA Arbitration and Enforcement- A Mid-Year Update
- Presenter, “Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts,” Investment Adviser Compliance Symposium
- Managing Third Party Cybersecurity and Data Privacy Risk Webinar
- Practical Advice for Managing Third-Party Cybersecurity and Data Privacy Risk