Venable partner Daniel Hayes presented during The Knowledge Group webinar "Broker-Dealer Enforcement: Key Developments, Compliance Risks, and Defense Strategies," on June 26.
This presentation provided a comprehensive analysis of recent SEC and FINRA enforcement trends impacting broker-dealers, with a focus on evolving regulatory priorities, emerging theories of liability, and the expanding scope of enforcement risk. The session also explored common compliance failures that trigger regulatory investigations and offered practical guidance on responding to enforcement actions, developing effective defense strategies, and strengthening internal compliance programs to mitigate regulatory risk.
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