Regulatory Summary Webinar

Join us for a webinar hosted by Francois Suanez, Compliance Manager SME and Hannah Prieto, Regulatory Compliance Analyst, on October 8, 2024, to explore the latest insights about the evolving regulatory trends and their impact on risk management in finance.

What to expect:

• Learn insights about the evolving regulatory perspective on AI integration
• SEC crackdown on firms’ failure to comply with record-keeping requirements
• Dive into key cases that highlight compliance risks, including non-financial misconduct, insider trading, record-keeping violations, and off-channel communications

Register now to secure your spot!

This invitation does not constitute gifts/entertainment and there is no entrance fee and no preparation required. Should you have additional questions or are unable to register online, please reply to [email protected] and a member of our team will be happy to assist you.