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OCIE in the Post-Madoff Environment: Examiners with Attitude

October 3, 2011 - October 4, 2011

Sixth Annual National Institute on Securities Fraud

Sutherland Partner Brian L. Rubin will be a panelist at the Sixth Annual National Institute on Securities Fraud on November 3-4, 2011, in New Orleans. The panel will discuss "OCIE in the Post-Madoff Environment: Examiners with Attitude." The Office of Compliance, Inspections and Examinations (OCIE) has ramped up the level of scrutiny and intensity of examinations for broker-dealers and registered investment advisers. The panel members will provide their perspectives on best practices and pitfalls for OCIE exams.

The conference will cover the evolving regulatory scheme underlying the financial reform legislation, the enforcement trends suggested by recent cases, the priorities of top enforcers, and the influence of the current two-party Congressional leadership.

For more information and to register for this event, please click here.

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