Tuesday, October 24 • 9:00 a.m. – 5:00 p.m. ET
Ghillaine Reid will be speaking during the "Current Trends in Broker-Dealer Regulations and Enforcement" session at the New York City Bar Association's Compliance Institute 2023 in New York, NY.
Corporate compliance responsibilities are becoming increasingly complex and compliance professionals have to deal with new and evolving laws and regulations, in an increasingly multi-jurisdictional environment. New SEC rules and DOJ guidance add to the complexity of managing a compliance program or advising compliance teams. The Compliance Institute will uniquely provide learning opportunities for law firm attorneys, compliance professionals, consultants, and service providers.