SEC & FINRA Enforcement Actions: Will 2017 "Trump" 2016?
This webinar co-hosted with Brian Rubin and Adam Pollet of Sutherland took place on Dec 8th 2016. In it we looked back at the top FINRA & SEC enforcement actions from 2016, some key cases and some predictions for the securities industry in 2017.
- Intro (0:36)
- 2016 SEC actions: The stats (3:40)
- Key SEC cases of 2016 (11:58)
- FINRA actions and super sized fines of 2016 (6:49)
- Key FINRA cases: Variable annuities (5:40)
- Key FINRA cases: Anti money laundering (6:06)
- Key FINRA cases: Suitability/ Due Diligence (2:46)
- What will 2017 bring? (5:50)
You can access the slides from this webinar here