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A Transatlantic View of Regulatory Enforcement

An L&C Division Webinar

20 July 2023 • 10:00 AM - 11:00 AM ET
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Add to Calendar 2023-07-20 10:00:00 2023-07-20 11:00:00 A Transatlantic View of Regulatory Enforcement The FCA, CFTC, and other U.S. and U.K. regulators have different priorities, regulatory processes, and approaches. In this webinar, we will identify current enforcement trends in cases brought by regulators in the US and UK. Webinar FIA info@fia.org America/New_York public

The FCA, CFTC, and other U.S. and U.K. regulators have different priorities, regulatory processes, and approaches. In this webinar, we will identify current enforcement trends in cases brought by regulators in the US and UK. We will include an analysis of the related risks to firms, how trends in one jurisdiction can help firms prepare for enforcement in other jurisdictions, and how best firms can ensure and demonstrate compliance in those areas of regulatory priority.

 

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Host: Michael Sorrell, Deputy General Counsel, FIA
Panelists: Renato Mariotti, Partner, Bryan Cave Leighton Paisner LLP
David Rundle, Partner, Bryan Cave Leighton Paisner LLP
Date/Time: Thursday, 20 July 2023 | 10:00 a.m. – 11:00  a.m. ET

This webinar is intended for informational purposes only and is not intended to provide investment, tax, business, legal or professional advice. Neither FIA nor its members endorse, approve, recommend, or certify any information, opinion, product, or service referenced in this webinar.  FIA makes no representations, warranties, or guarantees as to the webinar’s content. 

Register Now
Add to Calendar 2023-07-20 10:00:00 2023-07-20 11:00:00 A Transatlantic View of Regulatory Enforcement The FCA, CFTC, and other U.S. and U.K. regulators have different priorities, regulatory processes, and approaches. In this webinar, we will identify current enforcement trends in cases brought by regulators in the US and UK. Webinar FIA info@fia.org America/New_York public