This event was focused on reviewing the international financial services community, which is facing new and more frequent investigations from U.S. agencies like the SEC. A panel of experts discussed how to approach and ultimately prevail in such inquiries. Baker Botts lawyers Seth Taube and Bridget Moore participated. CLE credit was provided.
20th Annual IA Compliance: The Full 360 Degree View East - Navigating the Shifting Landscape of IA Compliance
The conference will offer guidance on how to nimbly adjust your compliance program for this shifting regulatory arena so you can avoid embarrassing exam deficiencies and costly compliance missteps.