Partners Zachary Goldman and Susan Schroeder will be participating in Financial Markets Association’s (FMA's) Securities Compliance Seminar.
- On May 4, Susan Schroeder will moderate a panel titled, “Key 2022 (and Beyond) Legislative and Regulatory Initiatives,” featuring speakers from FINRA, Robinhood, Promontory Financial Group and KPMG. Panelists will discuss building and maintaining a compliance framework and governance structure that anticipates and scales to rapid innovation, and the challenge of balancing innovation with regulatory expectations.
- On May 4, Zachary Goldman will participate as a featured speaker on the panel, “BSA/AML/OFAC Sanctions” along with representatives from PNC and Guidehouse. Their panel will address the AML Act of 2020; novel analytic techniques to combat financial crime; and Sanctions Compliance matters.
- On May 5, Susan Schroeder will also participate as a featured speaker of the “Broker-Dealer Regulatory and Compliance Challenges” session. The panel will be moderated by Mark T. Carberry from JP Morgan and will review current areas of regulatory focus for broker-dealers including Reg BI and Form CRS developments, gamification, and payment for order flow.