Securities Compliance Webinar

Securities Compliance Webinar

Speaking Engagement

During this virtual event hosted by the Financial Markets Association, attendees will learn about the current bank and broker-dealer challenges and regulatory priorities facing compliance professionals, risk managers, internal auditors and attorneys. The focus is on current compliance topics, new rules or interpretations and regulatory developments as well as useful compliance tools. Attendees are given the opportunity to sharpen their skills through interactive sessions with their peers, industry leaders and regulators.

Partner Susan Schroeder will participate in a panel titled “Compliance Risk Monitoring and Effective Regulator Communication in Today’s Remote Environment” at 9:05 a.m. on April 30. The panel will discuss assessing current risks and identifying new risks for compliance programs. Specific topics will include identifying new and additional considerations for the remote world, exploring active, effective regulatory communication and managing escalating items with regulators.


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