Broker/Dealer Regulation and Enforcement 2015

Colleen P. Mahoney

Washington, D.C. government enforcement partner Colleen Mahoney moderated an "In-House Lawyer Roundtable" at PLI's "Broker/Dealer Regulation and Enforcement 2015," held Nov. 11 in New York. The panel of senior in-house regulatory lawyers discussed the challenges of managing the regulatory and enforcement issues that their firms faced on a regular basis. They discussed their strategies and concerns as well as the role that they expect outside counsel to play in helping them minimize their firms’ regulatory exposure.