National Society of Compliance Professionals’ National Conference: Responding to Regulatory Investigations and Inquiries
On October 27, from 1:45 – 3:00 pm, Christopher J. Kelly, Chair of the CSG Law Securities Enforcement Group, will serve as a speaker at the National Society of Compliance Professionals (NSCP) National Conference on the panel, “Responding to Regulatory Investigations and Inquiries” in Dallas, Texas.
Mr. Kelly will cover identifying the investigation’s origin, key questions to ask regulatory investigators, how to request the SEC’s formal order, conducting internal investigations, responding to FINRA 8210 and SEC letters, and best practices for organizing an effective team to manage regulatory investigations.