At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current regulatory initiatives and recent examination and enforcement activity to give attendees a multi-faceted perspective on requirements and best practices in this area.
WilmerHale Partner Stephanie Nicolas is a featured speaker at this event. She will be participating in a panel entitled "FINRA’s New Supervision Rules."
