Directors, C-Suites, and General Counsel are increasingly focusing on compliance – a critical aspect to every business operation. Mistakes can seriously heighten corporate and personal liability. Not only do the DOJ and SEC have an impact on compliance, but state and local regulators – particularly in New York – are also intensely overseeing compliance initiatives and ethics of financial services institutions and other industries.
Goodwin partner Richard Strassberg joins Jason Brown, Chief Deputy Attorney General of New York State, Susan Schroeder, Senior Vice President, Deputy Chief, Enforcement Department of FINRA, and Jonny Frank Partner at StoneTurn Group. They will provide an overview of key national and state regulatory issues in financial services and other industry compliance.