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Top FINRA Enforcement Issues and Trends of 2018 with Eversheds Sutherland

While disciplinary actions may have declined, FINRA's fines per case have been increasing. By focusing on past regulatory actions such as anti-money laundering and suitability - problems which generated the greatest number of fines in 2018 - firms can learn to avoid the same pitfalls in the future.
Recorded May 16 2019 61 mins
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Presented by
Adam Pollet, Eversheds Sutherland; Brian Rubin, Eversheds Sutherland; Marianna Shafir, Smarsh
Presentation preview: Top FINRA Enforcement Issues and Trends of 2018 with Eversheds Sutherland

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  • Title: Top FINRA Enforcement Issues and Trends of 2018 with Eversheds Sutherland
  • Live at: May 16 2019 5:00 pm
  • Presented by: Adam Pollet, Eversheds Sutherland; Brian Rubin, Eversheds Sutherland; Marianna Shafir, Smarsh
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