Join Ulmer partner Frances Floriano Goins and Elizabeth Hill, Senior Vice President, Deputy General Counsel, at Huntington National Bank, as they share an overview of the 2022 exam priorities. They will also discuss...more
2/11/2022
/ Broker-Dealer ,
Continuing Legal Education ,
Department of Labor (DOL) ,
Enforcement Actions ,
Exemptions ,
Financial Services Industry ,
Investment Adviser ,
IRA Rollovers ,
Liability ,
Prohibited Transactions ,
Regulation Best Interest ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Webinars
Join Frances Floriano Goins and Laura J. Shaw, Associate General Counsel from KeyBank, NA, as they review the myriad regulatory schemes that govern data protection for financial services providers, keying in on both newly...more
1/25/2021
/ Banking Sector ,
Broker-Dealer ,
Chief Compliance Officers ,
Continuing Legal Education ,
Corporate Counsel ,
Cybersecurity ,
Data Protection ,
Financial Institutions ,
Financial Services Industry ,
Fund Managers ,
Investment Banks ,
Investment Companies ,
Retail Banks ,
Risk Management ,
Webinars
Fran Goins and Mike Marrero will give an update on FINRA and SEC privacy regulations and guidance, recent enforcement actions involving financial institutions, and much more....more
11/27/2019
/ Banking Sector ,
Broker-Dealer ,
Continuing Legal Education ,
Data Privacy ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Services Industry ,
Investment Companies ,
New Guidance ,
New Regulations ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Webinars