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Mid-Year Regulatory Review– What’s the Latest from the SEC and FINRA?

As we hit the mid-year point of 2022, the rapid pace of regulatory activity in the financial services industry is not abating. Where have the SEC and FINRA been focusing their attention around enforcement and examinations, and what does this mean for compliance?

Join Hope Newsome from Virtus LLP for a regulatory recap of 2022 to date along with the implications for moving forward for the rest of the year and beyond, including:

  • 2022 enforcement actions of note
  • Risk Alerts and regulatory proposals
  • Key risks and trends across both agencies
  • Practical tips and guidance for compliance

Register Now

WEBINAR SPEAKERS

Corporate and Financial Services Attorney by trade; Bridge-Builder between investors and the market by passion.

Practices & Capabilities 

  • 13 years serving as counsel and compliance officer for issuers and sponsors of private and public investment funds, broker-dealers and registered investment advisers.Experience in all manners of equity offerings. Served as chief compliance officer and secretary of two global energy investment companies registered under the Investment Company Act of 1940, as amended.Successfully led both new membership and continuing membership applications with FINRA and cycle and for- cause examinations with FINRA and the SEC.

  • Significant experience providing general corporate counsel to start-up, growth and renewal organizations including the execution of firm internal testing standards and processes.

Hope L. Newsome, Esq.
Managing Partner, Virtus LLP

Samantha Osbourne is Associate Attorney at Virtus LLP.

Virtus LLP is a law firm designed to provide valued solutions to businesses, financial institutions, corporations and governmental entities, was founded on the ideals of excellence, courage and character. With a focus on Corporate & Securities, Financial Services, Private Capital, and Project & Public Finance our attorneys are well versed in efficiently meeting the time sensitive, detail-oriented demands of our clients.

Virtus brings the combined experience of its attorneys who have served as shareholder at a global law firm and as general counsel and chief compliance officer for several financial institutions. 

 



Samantha Osbourne
Associate Attorney