Join Ulmer partner Frances Floriano Goins as she shares an overview of the Securities and Exchange Commission's 2023 ammendments and rules regarding:
- enhanced customer protection practices
- disclosure of...more
11/28/2023
/ Banking Sector ,
Conflicts of Interest ,
Continuing Legal Education ,
Customer Protection Rule ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement ,
Financial Services Industry ,
Predictive Analytics ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Webinars
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
Despite a general decline in filings of securities class action litigation in 2020, the economic fallout from the coronavirus pandemic has led to an uptick of securities fraud cases alleging failure to disclose risks of the...more
Online fraud is a bigger business than ever in the current pandemic environment. Far from “self-isolating,” fraudsters are seeing online work as an opportunity to take advantage of firms and their customers, using stolen...more
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