Seminar October 26, 2018

26th Annual Securities Litigation and Regulatory Enforcement Seminar

Event Detail
Paul N. Monnin, Cara M. Peterman
October 26, 2018
8:15 AM - 5:00 PM Eastern Standard Time
The Westin Buckhead
Atlanta, GA

Don’t miss the 26th Annual Securities Litigation and Regulatory Practice seminar hosted by the Georgia Institute of Continuing Legal Education (ICLE) and the Business Law Section of the Georgia State Bar. This seminar will address the SEC’s current enforcement and examination priorities, to be addressed by a sitting SEC commissioner, the national directors of the SEC’s Enforcement Division and Exam Program, and registered adviser and broker-dealer GCs, along with updates on regulatory enforcement developments, cyber issues, and securities litigation.

Featured speakers will include:

  • Hon. Hester M. Peirce – Commissioner, SEC
  • Peter Driscoll – Director, Office of Compliance Inspections and Examinations, SEC
  • Steven Peikin – Co-Director, Division of Enforcement, SEC
  • GCs or associate GCs of SunTrust, Raymond James, and Primerica

Paul Monnin and Cara Peterman will speak at this event. Paul, a seminar co-chair, will moderate the sessions “Update on Cyber and the Evolution and Enforcement Regarding New Financial Products – Crypto Offers, ICOS, Blockchain” and “Compliance, Enforcement Planning and Risk Assessment for Regulated Entities.” Cara will speak on the panel “Litigation Survey.”

For more information or to register, click here.

Meet The Speakers
Media Contacts
Alex Wolfe
Communications Director

This website uses cookies to improve functionality and performance. For more information, see our Privacy Statement. Additional details for California consumers can be found here.