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Limiting Exposure in Regulatory Investigations

June 6, 2013

BDO Ańásense 2013

Sutherland Partner Olga Greenberg is speaking on a webcast, “Limiting Exposure in Regulatory Investigations,” on June 6, 2013.  In this webcast, presenters will walk participants through the steps of a securities enforcement investigation, highlighting the importance of data analytics in identifying potentially impacted customers, their demographics, and the company’s potential exposure.  When faced with a multi-client issue that may eventually result in a fine or restitution, data analytics plays a critical role to reduce costs, limit exposure, and bolster your defense.

Presenters will discuss a recent FINRA investigation involving alternative investments where data analytics, including demographic analysis, were utilized to significantly limit sanctions and exposure for a securities firm.

For more information and to register for the program, click here.

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