Virtual CLE Program: DOJ and SEC’s New Emphasis on Individual Enforcement—More Bark than Bite?
1.00 Hr CLE Available
The Forum and Katten Muchin Rosenman LLP invite you to join us for a Virtual CLE Program on Thursday, January 19th. The presentation will provide an overview of regulators’ renewed rhetorical focus on individual accountability and an analysis of recent enforcement actions by DOJ and SEC to see whether the reality of enforcement actions is keeping pace with the rhetoric. In addition, the presentation will address the new role and new risks for compliance personnel in DOJ settlement agreements.
Gold Underwriter Host:
At the request of our in-house members, the Forum is offering high quality CLE programming hosted by our Gold Underwriters to help members secure their annual CLE requirements.