Arthur Don will moderate a panel at the 2019 MMI Annual Conference. The panel, "Current Trends in SEC and FINRA Examination and Enforcement," will will focus on trends in SEC and FINRA examinations and enforcement efforts ; significant areas of regulator interest across various asset classes, including the alternatives space; and observations about recent SEC examination experiences from both practitioners and in-house personnel.
October 14, 2019 - October 16, 2019 Event
MMI Annual Conference
Hyatt Regency Atlanta
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