2025 Securities Compliance Seminar

This seminar focuses on current compliance topics, new rules or interpretations, and regulatory initiatives for financial institutions and their affiliated broker-dealers. Panel discussions are led by key market participants and are structured for peer-to-peer learning. Open discussion is encouraged to develop solutions to key industry challenges and regulatory hot button priorities. Partner Christine Ayako Schleppegrell will participate on the panel for The Marketing Rule – Two + Years Later.

Christine's panel will address the following topics:

• Cases and lessons learned: An assessment of the cases brought by the SEC and ways to avoid pitfalls
• Overlap with FINRA advertising: How does the marketing rule overlap with FINRA 2210 – communications
• Policy and procedure best practices: Developing effective policies, supervisory procedures
• Marketing workflows: Systems and services for managing workflows