Join WilmerHale for the next session of the 2016 Financial Institutions Webinar Series, where attorneys explore recent developments and legal issues affecting financial institutions and providers of financial services. During this webinar, WilmerHale Partner Sharon Cohen Levin and Counsel Katrina Carroll discuss:
- the rapidly expanding application of the Bank Secrecy Act to the securities industry;
- proposed application of the Suspicious Activity Report (SAR) rule to Registered Investment Advisors;
- SAR filing for broker-dealers; and
- the overlapping jurisdiction of the SEC, FINRA and FinCEN.