On October 17, Washington, D.C. securities enforcement practice head Colleen Mahoney moderated a panel titled "In-House Broker/Dealer Lawyer Roundtable" at PLI’s Broker/Dealer Regulation and Enforcement 2017 seminar in New York. The panelists discussed challenges in managing regulatory and enforcement issues, and examine strategies for minimizing regulatory exposure.
Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates