FMA's Securities Compliance Seminar

FMA's Securities Compliance Seminar

Renaissance Arlington Capital View Hotel
Speaking Engagement

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.

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