Overview
Event Details
Please join Steptoe's Financial Services group co-chair Matt Kulkin for a complimentary webinar and interactive discussion with senior officials from the Financial Industry Regulatory Authority (FINRA) and National Futures Association (NFA) on the latest developments and priorities from these organizations.
Date: Wednesday, June 17, 2020
Time: 2:00 p.m. - 3:00 p.m. EDT
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Topics for discussion include:
- Examination priorities
- Surveillance and monitoring practices during the COVID-19 pandemic
- Coordination with federal regulators
- Enforcement and investigations
- Non-US member oversight
- The role of technology in examination and surveillance
- Digital currency market oversight
Speakers:
- Tom Gira, Executive Vice President, Market Regulation and Transparency Services, FINRA
- Matt Kulkin, Partner and Co-Chair of Steptoe's Financial Services group
- Philip Shaikun, Vice President and Associate General Counsel, FINRA
- Bill St. Louis, Senior Vice President, Member Supervision, FINRA
- Regina Thoele, Senior Vice President, Compliance, NFA
- Carol Wooding, Senior Vice President, General Counsel and Secretary, NFA