In this 60 minute webinar, members of the Willkie Compliance, Investigations and Enforcement team in London and Washington, D.C. engage in a practical discussion of the current trends and hot topics in enforcement by the US Securities and Exchange Commission and the UK Financial Conduct Authority.
Discussion topics include:
- FCA and SEC enforcement actions in the time of Covid-19
- Multi-agency enforcement and collaboration
- Key areas of focus include:
- Prevention of financial crime
- Market abuse
- Cryptocurrency and cybersecurity
- Private funds
- Operational resilience, firm culture and governance
Speakers: Elizabeth Gray, James Burns, Peter Burrell, Simon Osborn-King
Download the presentation materials here.
This course is approved for CLE credit in:
NY - 1 Professional Practice (non-transitional)
CA - 1 General-Participatory