FCA and SEC Enforcement Trends: 2020

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-Paricipatory

For CLE credit in these jurisdictions, please complete this form and submit it here.  For credit in other jurisdictions, contact us.

 

 

You are currently offline.