Enforcement Update and Anticipated Trends

Financial Markets Association (FMA) 2023 Legal and Legislative Conference
Seminar, CLE Available
November 3, 2023
12:35 PM - 1:30 PM ET
Washington Marriott Georgetown Hotel
1221 22nd Street NW
Washington, DC 20037

Consumer protection attorney Kwamina Williford will speak at the Financial Markets Association's (FMA) 2023 Legal and Legislative Conference in Washington, D.C. Ms. Williford's session will take place on the second day of the event. Speakers will review enforcement actions taken this year by financial services regulators such as the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA), focusing on recent actions related to improper fees, anti-money laundering (AML) and unauthorized communication channels. The presentation will then transition to a preview of anticipated enforcement trends for the remainer of 2023 and into 2024.

Please note online registration is currently unavailable. To register, contact Dorcas Pearce at dp-fma@starpower.net or call 919.494.7479. More information can be found on the organization's website.

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