Events

Sterling Financial Services Summit: Human Capital and Compliance - Bridging the Gap

New York

This afternoon thought leadership session is intended for executives in Human Resources, Talent Acquisition and Compliance at Financial Services firms. We will engage in interactive discussions with industry peers covering a range of topics including GDPR, hiring and monitoring due diligence.

Our featured speaker, Former FINRA Chief of Enforcement, J. Bradley Bennett, now a Partner in the White Collar practice at Baker Botts, will discuss the surge in investigations and formal disciplinary actions for violations of federal securities laws, and best practices in hiring and monitoring can help you mitigate risks.

For more information on this event, please click here.

For questions regarding this event, please contact Katie Marshall.