Recent Entries
«Return to Main Blog Page
SIFMA Webinar-Litigation Update
June 11, 2020

OUTSIDE NEWS - Members may be interested in attending a webinar hosted by SIFMA Compliance & Legal Society regarding the latest in regulatory and criminal litigation. Industry leaders and regulators will explore areas including: Individual accountability, disclosures, and coordination; What counts as cooperation for corporations these days; Navigating through privilege, case law on internal investigations, and regulator expectations; What’s old and what’s new for financial fraud; Accounting fraud; Insider trading; Spoofing; RICO; Developments in FCPA, AML, and sanctions. The event is complimentary to SIFMA members and $99 to non-members and will broadcast Thursday, June 18th from 1:00 – 2:30PM EDT. Pre-registration is required. For more information and a list of featured speakers, visit SIFMA's registration page


SER Members serve parties engaged in securities disputes. SER is a party-neutral organization. Items published in this Newsroom that express an opinion or a party bias are not reflective of SER's policy positions or its views as an organization. Items published in the Newsroom on this Website may also be published on SER's LinkedIn Page.

Members: To submit a news item to the Newsroom, first log in, then return to this page and press the button that will appear here.