transcript   Transcript

Enforcement (The SEC Speaks in 2018: Workshop C)

Recorded on: Mar. 2, 2018
Running Time: 01:02:29

Full Transcript:



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Taken from the Web Program The SEC Speaks in 2018 Recorded February 2018 in Washington, D.C.

Enforcement (The SEC Speaks in 2018: Workshop C) - Audio - only
[01:02:28]

  • Retail strategy matters
  • FCPA matters
  • Financial fraud and audit matters
  • Complex financial instruments matters
  • Broker-Dealer practices
  • Market abuse and market structure matters
  • Public finance abuse

Speakers: Division of Enforcement
Jeffrey Boujoukos, Regional Director, Philadelphia Regional Office
Charu Chandrasekhar, Chief, Retail Strategy Task Force
Charles E. Cain, Chief, FCPA Unit
Margaret S. McGuire, Chief, Financial Reporting and Audit Group
Daniel Michael, Chief, Complex Financial Instruments Unit
Antonia Chion, Chief, Broker Dealer Task Force, and Associate Director, Home Office
Joseph Sansone, Chief, Market Abuse Unit
LeeAnn G. Gaunt, Chief, Public Finance Abuse Unit


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