Speaking Engagements October 9, 2025  |  4:00 PM - 5:00 PM ET

PLI Broker/Dealer Regulation and Enforcement 2025

1177 Avenue of the Americas
Entrance on 45th Street
New York, NY 10036

Speakers

Ghillaine A. Reid

Ghillaine Reid, co-leader of Troutman Pepper Locke’s Securities Investigations + Enforcement practice, will moderate the Broker/Dealer Lawyer and Compliance Officer Roundtable. The panel will share challenges they face managing regulatory, enforcement and compliance issues affecting their firms. Participants will leave this program with a greater understanding of the current regulatory issues and priorities facing in-house lawyers and compliance officers, and lessons to be learned from recent examinations and/or enforcement actions, including:

  • Decision-making throughout the enforcement process, including self-reporting, cooperation and remediation
  • Advising supervisors and employees
  • Handling whistleblower complaints
  • Approaches for assessing compliance program effectiveness and maintaining a robust program
  • Strategies for mitigating compliance in the regulatory cross-hairs 
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