Katten will host the second segment in firm's annual Financial Markets Litigation and Enforcement Symposium Series at 10:00 a.m. (ET) on Thursday, October 15. The virtual program will include discussions of current regulatory enforcement and litigation issues facing the financial services industry, as well as a panel to discuss the importance of expanding diversity in the financial services legal industry.
Richard Marshall, partner in the Financial Markets and Funds practice, will moderate the virtual program, "Hot Topics in Securities Regulatory Enforcement." Panelists will include Financial Markets and Funds partners Susan Light and Paul McCurdy, and Securities Litigation partner Michael Diver, as well as Adrienne Pitts, managing director and general counsel, Loop Capital, LLC. They will discuss current SEC and FINRA enforcement priorities and litigation. Topics will include remote supervision, White House guidance, insider trading, disgorgement, finder's issues, and Regulation Best Interest.
For more information, contact Michelle Hauser.
This event is closed to the media. If you are a member of the media and have questions about this event, please contact Jacquelyn Heard at jackie.heard@katten.com.
