Marianna Shafir – Smarsh, and Mimi LeGaye – MGL Consulting
About this talk
It’s summertime and the regulatory climate is heating up. Regulators have been taking a tougher stance on areas of longstanding interest like insider trading and mobile, while also aggressively enforcing new priorities like cybersecurity and cryptocurrency.
Join us July 26, 2022 for our webinar, Regulatory Quarterly Update: 2022 Mid-Year Pitstop, for an overview and analysis of enforcement this year and their ramifications as we head into the second half of 2022.
Our expert panelists will discuss:
– Enforcement: Review of recent regulatory action focused on the use of prohibited networks, e.g. WhatsApp
– Cyber: Proposed SEC Rules for Cybersecurity Risk Management: What Investment Advisory Firms Need to Know
– 17a4: Discuss the proposed update to SEC 17a4 storage rule and critical steps regulated firms need to take to maintain compliance