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Limiting Exposure in Regulatory Investigations

June 06, 2013


  • Summary
  • Podcast and Materials
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.
Access the Podcast

Presentation Handout Materials: Ac'sense 2013 Limiting Exposure in Regulatory Investigations

Note: CPE credit is not available for the podcast.