The Knowledge Group Has Scheduled a Live Webcast on SEC’s Heightened Enforcement: Exploring Practical Compliance Tips and Strategies

The Knowledge Group, the leading producer of regulatory focused webcasts, announced today that it has scheduled a live webcast entitled: SEC’s Heightened Enforcement: Exploring Practical Compliance Tips and Strategies. This event is scheduled on Tuesday, June 15, 2021 from 12:00 PM to 1:00 PM ET. End Quote

(1888PressRelease) May 28, 2021 - Event Synopsis:
The securities law landscape continues to evolve as new regulatory developments emerge. Recently, under the direction of its new Chair, the Securities and Exchange Commission’s (SEC) has been messaging the priorities of its enforcement program, including renewed focus across the agency related to climate change disclosures, cybersecurity, and financial innovation. The SEC staff has also messaged through its examination priorities that it will focus on recently established rules and standards of conduct for registered investment advisers (RIAs) and broker-dealers. Although the new administration is still working through several pandemic-related economic disruptions, a more aggressive enforcement posture is widely expected.

In light of these changes, registrants must continue to be proactive in addressing compliance with SEC regulations while keeping abreast of emerging legal and policy developments that may result in increased scrutiny from SEC staff, including the Division of Enforcement.

In this LIVE Webcast, financial regulatory experts Dr. Jennifer Marietta-Westberg (Cornerstone Research) and Ryan Wolfe (Credibility International LLC) will provide the audience with an in-depth discussion of the SEC’s heightened enforcement priorities. Speakers will also present recent regulatory developments and share practical ways to improve compliance amid the changing legal landscape.

Key issues that will be covered in this course are:
• Trends and Developments in Securities Law
• The SEC’s 2021 Enforcement Priorities
• Critical Issues and Challenges
• Best Compliance Practices
• Outlook

Speakers/Faculty Panel

Dr. Jennifer Marietta-Westberg, Principal
Cornerstone Research

Ryan Wolfe, Director
Credibility International LLC

For an updated list of the faculty panel, please visit:
https://knowledgewebcasts.com/know-portfolio/secs-heightened-enforcement-cle-cpe/

About The Knowledge Group
Founded in November 2006, The Knowledge Group has been at the forefront of providing quality continuing education programs for lawyers, accountants, financial executives, risk and compliance specialists, human resources professionals, technology officers, and business consultants in a wide range of industries.

The Knowledge Group strives to be the best-in-class provider of continuing education by bringing forth relevant content you can’t get anywhere else.

###

space

Other Related Press Releases