Corin Swift, Partner, Sidley Austin LLP to Speak at TKG’s FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Corin Swift, Partner, Sidley Austin LLP will speak at TKG’s webcast entitled: “FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore.” This event is scheduled for Tuesday, December 11, 2018 from 12:00 PM to 1:30 PM (ET).
- (1888PressRelease) November 05, 2018 - The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Corin Swift, Partner, Sidley Austin LLP will speak at the Knowledge Group’s webcast entitled: “FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore.” This event is scheduled for Tuesday, December 11, 2018 from 12:00 PM to 1:30 PM (ET).
For further details, please visit:
https://www.theknowledgegroup.org/webcasts/finras-crackdown-on-high-risk-brokers/
About Corin Swift
CORIN SWIFT is a partner in Sidley’s Securities & Derivatives Enforcement and Regulatory group. She has 15 years of experience in representing broker-dealers, corporations, investment advisers and banks in government investigations and enforcement proceedings. She has substantial experience representing both institutions and individuals before the Securities and Exchange Commission and in defending clients facing multijurisdictional and overlapping investigations. She has appeared in state and federal court as well as FINRA arbitration proceedings on behalf of her clients. Corin has a commitment to public service and has represented a wide range of pro bono clients in matters including immigration proceedings and counseling for not-for-profit clients. She was one of the authors of the Boston Bar Association’s amicus brief in the landmark Goodridge case in Massachusetts, the first decision by a state’s highest court establishing the right of same-sex couples to marry under state law. Corin is recognized as a “Lawyer of the Year” in 2015 and 2018 in Securities Regulation and is listed as a “Best Lawyer” in Securities/Capital Markets Law (2014–2019) in The Best Lawyers in America. Corin earned her law degree from The University of Michigan Law School and her A.B. from Occidental College.
About Sidley Austin LLP
Sidley Austin LLP provides a broad range of legal services to meet the needs of its diverse client base. The strategic establishment of its offices in the key corporate and financial centers of the world has enabled it to represent a broad range of clients that include multinational and domes- tic corporations, banks, funds and financial institutions. With over 2,000 lawyers in 20 offices around the world, talent and teamwork are central to Sidley’s successful results for clients in all types of legal matters, from complex transactions to ‘bet the company’ litigation to cutting-edge regulatory issues.
Event Synopsis:
In April 2018, the Financial Industry Regulatory Authority (FINRA) issued a guidance on when intensified broker-dealer oversight of associated persons, may be necessary. The guidance proposes rule amendments that would heighten restrictions on member companies employing brokers with history of past misconduct. Reminding broker-dealers of their supervisory responsibilities, Regulatory Notice 18-15 requires FINRA member firms to implement supervisory procedures for associated persons.
Our panel of key thought leaders and practitioners organized by The Knowledge Group will offer a discussion of the fundamentals as well as recent updates regarding the latest and significant issues surrounding FINRA’s regulation of high-risk brokers. This LIVE Webcast aims to help you to avoid common pitfalls and risk issues by adopting best compliance practices in light of the guidance.
Key topics include:
• FINRA’s Guidance on High-Risk Brokers: Overview
• Recent Enforcement Trends
• Overlap with State Regulatory Focus
• Regulatory Updates
• Emerging Pitfalls and Risks
• Best Practices: Supervision and Compliance
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register for an event, please visit: http://theknowledgegroup.org/
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