• Webinars

    BDO webinars bring our community together in an online setting
    to connect with each other and share insights into the topics and trends.

Limiting Exposure in Regulatory Investigations

June 06, 2013
12:00 AM to 12:00 PM EST

  • Summary
In this webinar, BDO Consulting Partner Stephanie Giammarco and Sutherland Asbill & Brennan LLP Partner Olga Greenberg 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.