Shearman And Sterling

Event April 04, 2019

Ernst & Young Broker-Dealer Roundtable

  • New York

Partner Mark Lanpher (New York–Litigation), and counsel Jennifer Morton (New York–Financial Institutions Advisory & Financial Regulatory) were the featured speakers at Ernst & Young’s annual Broker-Dealer Roundtable—a discussion for broker-dealer senior executives to share their perspectives, insights and challenges. Held on April 4 at the Harvard Club in New York City, the roundtable was attended primarily by Chief Financial Officers and Chief Regulatory Reporting Officers, and touched on topics including regulatory priorities, automation in the financial services industry, reporting challenges, enforcement and industry evolution. Mark and Jen spoke extensively on recent SEC and FINRA examination priorities, investigations and enforcement actions across a number of different topics, and Mark provided extensive insight on SEC enforcement posture related to specific areas of interest to the attendees.