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SIFMA C&L Annual Seminar

Presented by SIFMA
Speaking Engagement | March 25, 2019

Christian T. Kemnitz, co-head of the firm's Financial Services Litigation practice, will serve as a panelist for "MB: Investment Banking and Capital Markets Enforcement Issues and Developments," a session at 12:15 p.m. (MT) during the SIFMA C&L Annual Seminar on Monday, March 25. Topics to be discussed include:

  • SEC enforcement focus – securities and initial token offerings, registration issues, insider trading
  • CFTC enforcement priorities and trends, including manipulation, spoofing and the status of cooperation programs
  • DOJ activity in trading and market matters: spoofing, antitrust, FX and other benchmarks
  • FINRA: scrutiny of AML programs, low price securities and other issues

Additional information can be found here https://www.sifma.org/event/clannual/

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JW Marriott Phoenix Desert Ridge
5350 East Marriott Drive
Phoenix, AZ 85054

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